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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

"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)
Swiss Federal Ordinance on Stock Exchanges and Securities Trading (Stock Exchange Ordinance, SESTO)
Financial Market Infrastructure Act, FMIA A
Financial Market Infrastructure Ordinance, FMIO A
FINMA Financial Market Infrastructure Ordinance, FMIO-FINMA
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

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