Exams and qualifications

Securities licensing exams by jurisdiction

A practical map of what to check before choosing exam prep: the role, the sponsoring firm, the regulated activity, the client type, and the official exam or competence source.

Hong Kong securities licensing exams and individual approval path

How SFC licensed representative, responsible officer, Type 1, Type 4, Type 6, Type 9, sponsor, takeovers, and depositary exam questions fit together.

Licensed representativeResponsible officerSponsor principal

Open route

Singapore CMFAS exams and representative notification path

How Singapore CMFAS modules, MAS representative notification, CMS activities, dealing, advising, fund marketing, and corporate finance roles fit together.

Appointed representativeDealing representativeFund management representative

Open route

UK FCA qualification and competence path

How FCA training and competence, appropriate qualification tables, SM&CR, certification, personal recommendations, investment advice, and firm supervision fit together.

Retail investment adviserInvestment managerSenior manager

Open route

US SIE, FINRA Series exams and adviser representative path

How SIE, Series 7, Series 63, Series 65, Series 66, broker-dealer sponsorship, investment adviser representatives, and state registration fit together.

General securities representativeInvestment adviser representativeBroker-dealer registered representative

Open route

AUS

Australia financial adviser exam, professional standards and responsible manager path

How ASIC financial adviser exam, relevant provider standards, professional year, CPD, RG 146 boundary, responsible managers, and AFSL people evidence fit together.

Relevant providerProvisional relevant providerFinancial adviser

Open route

Study routes

Popular exam route deep-dives

Use these after the jurisdiction overview. Each page connects paper/module choices to role scope, firm sponsorship, application evidence, and official sources.

HKSI LE route for SFC Type 1 and Type 4 representativesHKSI LE Papers 1, 2, 7, and 8 for Type 1, Type 4, and Type 8 contexts.HKSI LE route for SFC Type 9 asset managementHKSI LE Papers 1, 6, 7, and 12 for Type 9 representative and responsible officer routes.HKSI LE route for SFC Type 6 sponsor and takeovers workHKSI LE Papers 1, 5, 7, 11, 15, 16, and 17 depending on Type 6 role and work type.Singapore CMFAS route for fund management representativesCMFAS fund management module analysis, with current MAS and IBF materials checked before enrollment.UK FCA appropriate qualification route for investment adviceFCA TC appropriate qualification analysis for retail-client investment advice and related activities.US SIE and Series 7 route for general securities representativesFINRA SIE plus Series 7 for General Securities Representative registration, with sponsorship and state checks.US Series 65 and Series 66 route for investment adviser representativesNASAA Series 65 and Series 66 exam-route analysis for investment adviser representative roles.Australia financial adviser exam route for relevant providersASIC financial adviser exam and professional standards for personal advice to retail clients.

Paper and module study maps

Study the paper in its licence context

These pages are not vendor prep notes. They explain what the paper is for, which role it supports, what official source to verify, and how the result fits an application or register file.

HKSI LE Paper 1 study map for SFC representativesHong Kong securities and futures regulatory framework for SFC licensed representative and responsible officer routes.HKSI LE Paper 12 study map for Type 9 asset managementAsset management paper for Hong Kong Type 9 route planning and investment management competence files.Singapore CMFAS fund management modules study mapCMFAS module selection and representative-notification context for Singapore fund management roles.FINRA SIE exam study map for securities career startersIntroductory securities-industry knowledge for prospective US securities professionals.FINRA Series 7 exam study map for general securities representativesRepresentative-level exam for general securities representatives associated with FINRA member firms.Series 65 exam study map for investment adviser representativesUniform Investment Adviser Law Exam context for investment adviser representative roles.UK retail investment advice appropriate qualification study mapRole-based FCA appropriate qualification and competence planning for retail investment advice.ASIC financial adviser exam study map for relevant providersFinancial adviser exam and professional standards for people giving personal advice to retail clients.