CSCP Examination Eligibility Requirements
The CSCP examination is the first step in achieving certification. To be eligible to sit for the CSCP examination, you must have earned a:
Although not required, it is strongly recommended that you have professional experience in securities compliance; the CSCP examination assesses intermediate proficiency in securities compliance rather than entry-level skills. The testing industry has shown that those taking intermediate to mastery level examinations are more likely to pass with two or more years of experience in the associated field.
CSCP Credential Eligibility Requirements
Upon successful completion of the CSCP examination, one is noted as a CSCP candidate until the following eligibility requirements for the CSCP Credential are met:
- successfully passed the CSCP examination; and
- earned a US Baccalaureate degree (or foreign equivalent) plus three (3) years of securities compliance experience; or a minimum of five (5) years experience in securities compliance; and
- completed and submitted the CSCP Credential Application for approval.
Experience in Securities Compliance
Securities compliance experience is defined as:
- Employment in the Compliance or Legal Department of a registered broker-dealer or with an investment adviser, whether registered with the SEC or a State regulatory authority, or exempt from such registration; or
- Employment in the Compliance or Legal Department of a financial services firm that has a registered broker-dealer or investment adviser affiliate, with substantial job responsibilities supporting the brokerage or advisory services of the firm; or
- Employment with the SEC, FINRA, IDA, or another securities regulator or self-regulatory organization; or
- Practice at a law, accounting, or consulting firm, with a substantial part of your practice consisting of providing advisory, consulting or litigation support to the securities (broker-dealer or investment advisory) business of your clients.
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