100% IIA IIA-CFSA-SEC Guaranteed Success With Testing Engine

Exam Code: IIA-CFSA-SEC

Exam Name: Certified Financial Services Auditor - Securities

Updated: Sep 08, 2026

Number: 0 Q&As with Testing Engine

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IIA IIA-CFSA-SEC Exam Overview:

Certification Vendor:	Institute of Internal Auditors (IIA)
Exam Name:	Certified Financial Services Auditor - Securities
Exam Number:	IIA-CFSA-SEC
Available Languages:	English
Exam Duration:	175 minutes
Related Certifications:	CFSA-Insurance CFSA-Banking
Real Exam Qty:	115
Certificate Validity Period:	3 years
Exam Format:	Multiple-choice
Exam Price:	$230 USD (IIA Member), $285 USD (Non-Member)
Passing Score:	600 (scaled 250–750)
Recommended Training:	IIA Official CFSA Study Guide
Exam Registration:	IIA Official CFSA Registration Pearson VUE Scheduling
Exam Way:	Computer-based testing (CBT) at Pearson VUE centers or online proctored
Pre Condition:	Agree to IIA Code of Ethics; meet education/experience requirements (varies by region)
Official Syllabus URL:	https://www.theiia.org/en/certifications/cfsa/

IIA IIA-CFSA-SEC Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: The Regulatory Environment	15%	- Regulatory Oversight & Audit - Global Securities Regulations - Compliance & Reporting Requirements - Market Conduct & Investor Protection
Topic 2: Auditing Financial Services Products	30%	- Derivatives & Structured Products - Mutual Funds & Investment Portfolios - Securities Valuation & Pricing - Equities & Fixed Income Securities
Topic 3: Auditing Financial Services Processes	25%	- Transaction Lifecycle Controls - Reconciliation & Record Keeping - Custody & Asset Servicing - Trade Execution & Settlement
Topic 4: Securities Specialty (20% of total)	20%	- Securities Market Operations - Clearing & Settlement Systems - Broker-Dealer & Investment Advisory - Securities Industry Risks & Controls
Topic 5: Financial Services Auditing	30%	- Audit Planning & Risk Assessment - Governance & Risk Management - IIA Standards & Code of Ethics - Internal Control Frameworks

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