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The FMA is awarded by the CSI automatically upon the completion of the required coursework with an average of 60% or better consisting of three courses and six exams ranging in length from two to three hours: the Canadian Securities Course (CSC), the Professional Financial Planning Course (PFPC), and the Wealth Management Techniques Course (WMTC).
Series 37 – Canada Securities Representative Exam - With Options; Series 38 – Canada Securities Representative Exam - No Options; Series 42 – Registered Options Representative Exam; Series 44 – NYSE Arca Options Market Maker Exam; Series 47 – Japanese Module of the General Securities Exam; Series 50 – Municipal Advisor ...
The Canadian Securities Course is widely viewed by Canada's financial services sector as the de facto entry requirement for many careers of its paths. [ citation needed ] First offered in 1964, [ 2 ] it has remained an exclusive part of the proficiency requirement to be registered as an investment advisor with an IIROC member firm.
The FPAC syllabus is over two exams: the first 3-hour paper, covers underlying knowledge of financial planning and analysis; the second 4.5 hour paper, is a case-based test of applied analytics and business support. Certificants have three years experience and hold a relevant degree or other qualification; AFP thereafter specifies continuing ...
The Series 7 is a three-hour, forty-five-minute exam. [1] It is held in one four-hour session. There are 125 questions on the test. Candidates have to score at least 72% to pass. The SIE Exam and the Series 7 Exam are co-requisite exams. [9] Average study time is between 80 and 150 hours depending on current financial knowledge. [10]
The Canadian Securities Transition Office (French: Bureau de transition canadien en valeurs mobilières) is a federal organization that was created to assist in the establishment of a Canadian securities regulation regime and a Canadian regulatory authority. [21]
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The CSA (Canadian Securities Administrators) investigated IIROC for the loss of personal financial data of thousands of brokerage clients after IIROC announced that it lost a mobile device containing the information. The device had not been encrypted, which is in violation of IIROC policy.
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