Candidate Handbook


About This Handbook

  • Introduction
  • Certification
  • About NSCP
  • About Board of Governors
  • Independent Testing Agency

Applying for the CSCP Examination & Credential

  • CSCP Examination Eligibility Requirements
  • CSCP Credential Eligibility Requirements
  • Securities Compliance Experience
  • Eligibility Documentation
  • Completion of Program Requirements
  • Registration
  • Nondiscrimination Policy

Scheduling the Examination

  • Scheduling Your Appointment
  • Testing Centers
  • Confirmation Letter
  • No-Show / Tardy Policy
  • Reschedule Policy
  • Cancellation Policy
  • Name Changes
  • Special Testing Accommodations

Preparing for the Examination

  • Competency Statements
  • Curriculum
  • Content Outline
  • Self-Directed Study
  • Tutorial
  • Timed Examination

Taking the Examination

  • On the Day of the Examination
  • Idenification Requirements
  • Test Center Restrictions
  • Security
  • Misconduct
  • Testing Irregularities
  • Cancellation Due to Inclement Weather or Other Emergencies

After the Examination

  • Feedback on Your Testing Experience
  • Examination Score Reports
  • Confidentiality Procedure
  • Validation of Scores
  • Release of Information
  • Complaints and Appeals
  • Reexamination
  • Completion of Program Requirements
  • CSCP Program Completion
  • Registry
  • CSCP Certificate
  • Contact Information

Credential Maintenance

  • Completion of Acceptable CEUs during a Two-Year Cycle
  • Payment of Administrative Fee
  • Reporting and Recordkeeping
  • Assignment of CEUs
  • Examples of Activities That May Qualify for CEUs
  • Examples of Activites That Do Not Qualify for CEUs
  • Verification Review
  • Waiver of Continuing Education Requirements
  • Forfeiture of Credentials
  • Restoration of Credentials
  • Revocation of Certification
  • Appeals

Forms | References

Form A - Request for Special Testing Accommodations
Form B - Documentation of Disability-Related Needs
Core Content Areas

The policies and procedures specified in the CSCP Handbook are subject to change without notice.

©2011 by the National Society of Compliance Professionals. All rights reserved.

No part of this publication may be reproduced in any manner without the written permission of the executive director of the National Society of Compliance Professionals. The terms “Certified Securities Compliance Professional,” “CSCP,” “National Society of Compliance Professionals,” and “NSCP” are registered trademarks of the National Society of Compliance Professionals. Violation of the copyright will lead to prosecution under federal copyright laws.

Certified Securities Compliance Professional reg. no. 3,393,606
CSCP reg. no. 3,491,416
National Society of Compliance Professionals reg. no. 3,479,300
NSCP reg. no. 3,452,541