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Preparatory Documentation

Which documents do you need to prepare for your course or exam?

Training for Traders / Trader Examination: Module "Rules and Regulations" and "Trading"
Training / Trader Examination for Licensed Traders: Module "Trading"
Training / Trader Examination for Licensed Senior Traders (with > 5 years of professional experience): "Trading" module
Training for Reporting Agents / Reporting Agent Examination: Module "Reporting Agent"

"Trading" module Download
Trading on SIX Swiss Exchange, Module 1 - Trading
FINMA Circular 2013/8 - Market conduct rules
Trading Guide SIX Swiss Exchange


"Rules and Regulations" module Download
Trading on SIX Swiss Exchange, Module 2 - Rules and Regulations
Swiss Federal Act on Stock Exchanges and Securities Trading (Stock Exchange Act, SESTA) A
Swiss Federal Ordinance on Stock Exchanges and Securities Trading (Stock Exchange Ordinance, SESTO) A
Financial Market Infrastructure Act, FMIA A
Financial Market Infrastructure Ordinance, FMIO A
FINMA Financial Market Infrastructure Ordinance, FMIO-FINMA A
SIX Group Ltd Rules of Organisation for the Regulatory Bodies of the Group's exchanges, RBOR A
SIX Swiss Exchange Rules for the Appeals Board, ABR A
Directive on Ad hoc Publicity, DAH
Directive on Disclosure of Management Transactions, DMT
Code of Conduct for Securities Dealers governing securities transactions (Swiss Bankers Association)
FINMA Circular 2013/8 - Market conduct rules
Rule Book
Directives

"Reporting Agent" module Download
SIX Swiss Exchange, Module Reporting Agent
Swiss Federal Act on Stock Exchanges and Securities Trading (Stock Exchange Act, SESTA) A
Swiss Federal Ordinance on Stock Exchanges and Securities Trading (Stock Exchange Ordinance, SESTO) A
Financial Market Infrastructure Act, FMIA A
Financial Market Infrastructure Ordinance, FMIO A
FINMA Financial Market Infrastructure Ordinance, FMIO-FINMA A
2018/02 FINMA Circular "Duty to report securities transactions"  A
Reporting Rules A

A These documents are at your disposal electronically during the exam.