CSCP Checklist

CSCP Program

  • Distinguishes individuals with intermediate to advanced proficiency and a commitment to advancing securities compliance practices, lifelong learning, and professional development.
  • Is designed to meet the dynamic changes and increased responsibility and authority now carried by compliance professionals in the financial services industry.
  • Requires expertise of both broker-dealer and investment adviser compliance best practices, rules and regulations, and industry standards.

Preparation

  • Read the CSCP Candidate Handbook online.
  • Review the Competency Statements — the blueprint of the examination.
  • Understand that the CSCP is a self-directed study program.
  • Purchase a 12-month CSCP Curriculum account — the exam's preparatory tool. New Account $200 | Renewal Account $175
  • Allow a minimum of 3 months preparatory time.

Registration & Scheduling

  • Contact Pearson VUE — www.pearsonvue.com/nscp or 888-269-2219 to schedule a testing appointment.
  • Program fees are $795 (US/Canada) or $825 (International) and include writing the exam, access to the Credential Management System (CMS), the program completion process, and a CSCP Certificate.
  • NSCP membership has no bearing on the eligibility or cost of the CSCP program.
  • Appointments may be scheduled a maximum of six (6) months in advance.
  • Promptly respond to your Credential Management System (CMS) Account Activation Email.

CSCP Examination

  • The CSCP examination is the first step in achieving certification.
  • Eligibility requires a Bachelor’s degree from an accredited US college; or a minimum of two (2) years experience in securities compliance.

Exam Delivery

  • Arrive 30 minutes prior to your appointment.
  • Must present two (2) forms of valid identification (photo and signature required).
  • An official score report is issued after the administration of the CSCP examination.

CSCP Credential | Program Completion

  • Pass the CSCP examination.
  • Earn a Bachelor's degree from an accredited US college and complete three (3) years of securities compliance experience; or complete five (5) years of experience in securities compliance.
  • Submit the CSCP Credential Application, CSCP Resume Upload Form, and Education and Employment Survey via CMS.
  • Event Based Emails (EBEs) are sent, via CMS, providing reminders, updates, confirmations and other relevant information to guide candidates through the certification process.
  • Certificants receive a Certificate specifying that the CSCP designation has been awarded.
  • Public Registry is maintained in real time on the certification website with Certicant status'.

Credential Maintenance

  • Earn 20 CEUs during a 2-year cycle — CEUs must apply to Core Content Areas.
  • Submit the CSCP - Continuing Education Form, CSCP Member or Nonmember Recertification Form, and Education and Employment Survey
    via CMS.
  • Recertification Fees — NSCP member $75 | Non-member $100