Qualifications for SIE Exemption A pass result for the following Chartered Institute for Securities Investment CISI exams or combination of exams qualif ies an individual for the Securities ID: 834759
Download Pdf The PPT/PDF document "Chartered Institute for Securities Inve..." is the property of its rightful owner. Permission is granted to download and print the materials on this web site for personal, non-commercial use only, and to display it on your personal computer provided you do not modify the materials and that you retain all copyright notices contained in the materials. By downloading content from our website, you accept the terms of this agreement.
1 Chartered Institute for Securities & Inv
Chartered Institute for Securities & Investment (CISI) Qualifications for SIE Exemption A pass result for the following Chartered Institute for Securities & Investment (CISI) exams (or combination of exams) qualif ies an individual for the Securities Industry Essentials (SIE) exemption. Combination Acceptable Chartered Institute for Securities & Investment (CISI) Certificates * 1 1) CISI Certificate in Securities AND 2) CISI Certificate in Derivatives AND 3) CISI Investment, Risk and Taxation – Retail 2 1) CISI Certificate in Securities AND 2) CISI Certificate in Financial Derivatives AND 2) CISI Investment, Risk and Taxation – Retail 3 1) CISI Certificate in Derivatives AND 2) CISI Certificate in Financial Derivatives AND 3) CISI Investment, Risk and Taxation – Retail 4 1) CISI Investment Advice Diploma (IAD) Note: Includes either the Securities or the Derivatives Unit, e xcludes Private Client Advice * The certificates listed with combinations 1 – 4 became effective in 2014 . Combination Acceptable Chartered Institute for Securities & Investment (CISI) Certificates ^ 5 1) CISI Certificate in Securities and Financial Derivatives – Retail 6 1) CISI Certificate in Securities and Financial Derivatives AND 2) CISI Investment and Risk Unit 7 1) CISI Certificate in Securities – Retail AND 2) CISI Derivatives Unit 8 1) CISI Certificate in Securities AND 2) CISI Derivatives Unit AND 3) CISI Investment and Risk Unit 9 1) CISI Certificate in Securities – Retail AND 2) CISI Financial Derivatives Unit 10 1) CISI Certificate in Securities AND 2) CISI Financial Derivatives Unit AND 3) CISI Investment and Risk Unit 11 1) CISI Certificate in Derivatives – Retail AND 2) CISI Securities Unit 12 1) CISI Certificate in Derivatives AND 2) CISI Securities Unit AND 3) CISI Investment and Risk Unit 13 1) CISI Certificate in Financial Derivatives – Retail AND 2) CISI Securities Unit 14 1) CISI Certificate in Financial Derivatives AND 2) CISI Securities Unit AND 3) CISI Investment and Risk Unit 15 CISI Investment Advice Diploma (IAD) ^ The certificates listed with combinations 5 – 15 were a vailable from 2007 through 2012 .