Welcome to the CSCP examination preparation arena. This website was designed to provide guidance and offer assistance as you prepare for the Certified Securities Compliance Professional (CSCP) examination. This prep site features:

Candidate Handbook: Outlines the design and content of the CSCP examination and guides candidates through the entire CSCP Program from application through test taking to credential.

Examination Specifications: Details the length of the examination and the number and types of exam questions.

Competency Statements: Provides the competencies which serve as an outline or blueprint of the examination's content.

Content Outline: Details the different cognitive abilities (recall, application, and analysis) tested on the examination.

Curriculum: Describes the examination's preparatory tool and it's development. Provides screen shots and discusses pertinent technical information for those considering exam registration.

Passing Score: Explains the scoring process and provides the current passing standard.

NSCP has developed a self-directed study program which candidates can utilize in preparation for the CSCP examination. Information pertaining to the examination specifications, competency statements, content outline, recommended curriculum, and passing score may be found within this website.

The CSCP credential recognizes the competence and expertise of compliance professionals in a number of specified content areas.  The CSCP examination is not entry-level and may only be taken by those candidates who have fulfilled established eligibility criteria.  Once a candidate has determined that he/she has met the eligibility criteria, the candidate is encouraged to utilize the CSCP Competency Statements in conjunction with the online CSCP Curriculum to plan, execute, and customize their unique study guide and preparation strategy.

The CSCP examination contemplates that candidates will be familiar with current laws, rules and regulations of both the U.S. Securities and Exchange Commission (SEC) and Self-Regulatory Organizations (SROs) that apply to registered investment advisers and registered broker-dealers. A candidate's formal education, professional training, and practical experience will be useful in preparing for the CSCP examination.  Utilization of the CSCP Competency Statements and Curriculum can guide a candidate in mastering the content areas that will be tested. NSCP has not established any additional courses or programs that are intended to assist candidates in preparing for the CSCP examination.

A Preparation Strategy
Understand that the examination covers broker-dealer, investment adviser, and to some extent, investment company regulation. The Competency Statements are the blueprint of the examination. Using a highlighter, you might identify areas of weakness on the Competency Statements. You might also refer to the learning statements and learning outcomes in the Curriculum for additional information. This approach provides you with a customized guide to prepare for the examination. Organize this information by Domain as listed in the Competency Statements. Prioritize and order these Domains based on the number of questions asked on the examination (e.g. percentage of questions asked from Domain 3 is significantly higher compared to Domain 8).