Introduction


Students who have successfully completed the Certificate in Capital Markets (CCM) i.e. passing all three series, namely the Equity Securities Series, Debt Securities Series and Securities Regulations & Ethics Series with pre or post six months of relevant industry experience are eligible to enroll for the VIVA VOCE Examination conducted by the SEC. Passing of the VIVA VOCE Examination will qualify the candidate as a Registered Investment Advisor (RIA Designated).


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Last Modified: November 16, 2012