証券アナリスト(CMA) 国際公認投資アナリスト(CIIA) CFA PE

小学校で、「いち、に、さん、し、ご、ろく、しち、はち、きゅう、じゅう」を教わります。
数を数えるときに使う整数の名前。数がひとつ増えるごとに、数に名前がついているわけです。
英語だと、「one, two, three, four, five, six, seven, eight, nine, ten, eleven, twelve」、
独語だと、「eins, twei, drei, fier, fuenf, sechs, seben, acht, neun, zen, elf, zwolf」かな、忘れました。うろ覚えです。

不正と規則違反のページにgoo辞書の栞をつけました。
ここには、協会規則および細則、手続規則、職業行為規則へのリンクがあります。受験申込や受験票受取の際に「I agree」ボタンを押すと、これらリンク先の書類に書いてあることにも同意したことになるのでしょうか。おいそれと「I agree」するわけにはいかない。

Misconduct and Rules Violations

If you engage in any misconduct during the exam, you may be dismissed from the test center and subject to other penalties, including voiding of exam results and suspension or termination of your candidacy in the CFA Program.

Misconduct includes:

	Creating a disturbance
	Giving or receiving help
	Opening, working on, or reading the exam during a time not authorized by the testing personnel
	Writing or erasing after instructed to stop
	Removing exam materials or notes from the testing room
	Taking part in an act of impersonation or other forms of cheating
	Failing to follow the directions of testing personnel
	Using books, unapproved calculators, headsets, rulers, listening devices, paging devices (beepers), mobile and cellular phones, recording or photographic devices, papers of any kind, or other aids
	Writing on the front or back of your exam admission ticket at any time (before, during, or after the exam)
	Failing to follow CFA Institute conditions, requirements, policies, or procedures

Candidates are "covered persons" under CFA Institute Bylaws (PDF) and the Rules of Procedure for Proceedings Related to Professional Conduct (Rules of Procedure) (PDF).Therefore, any proceeding/investigation of a candidate's alleged misconduct is considered a professional conduct matter.

ID方針のページにgoo辞書の栞をつけました。それにしても、試験が終了してもなおそのスコアが報告されるとは限らないとは、なんとも呑気な仕事振り。

Identification Policy

Your identification (ID) must meet all of the criteria listed below. There are no exceptions to this policy. Your ID must:

1. Be current and valid – it cannot be expired
   
2. Contain your photo
   
3. Be issued by a government agency
   
4. Be a single document (not a combination of two or more pieces of identification, such as an expired photo driver’s license with a separate renewal certificate)
   
5. Be an original document. Photocopies of ID documents will not be accepted
   

The CFA Institute preferred form of ID is a valid passport. School and university identification will not be accepted for admittance to the CFA exam.

Check the expiration date on your ID. If it expires before your exam date, get it renewed now.

Before exam day, check to ensure the name on your admission ticket matches the name as it appears on your valid ID; submit a name change form (PDF) to us if necessary. If the name on your admission ticket does not match the name on your ID, your exam results may be voided.

Proctors will submit to CFA Institute photocopies of questionable ID that may be discovered during the administration of the exam, and validity determinations will be made by CFA Institute. Failure by the proctors to detect an invalid ID before the start of the exam, admittance to the testing room, or even completion of the exam does not imply that the ID is valid or that your scores will ultimately be reported. Use of an invalid ID is considered a violation of CFA Institute rules and will result in the voiding of your exam results.

Web受験票を表示する前に「I agree」ボタンを押さされます。それと同文のページが、昨日の受験票方針のページからのリンク先にありますので、これにgoo辞書の栞をつけました。
IDとしてはパスポートがよいと書いてありますが、わたしのパスポートは試験日前に失効してしまいます。試験を受けるためにわざわざ大金をかけてパスポートを貰いに行くなどばかげている。運転免許証も例示されています。しかし、明日投稿予定のID方針には、「check to ensure the name on your admission ticket matches the name as it appears on your valid ID;」と書いてあります。公安委員会の通常の運転免許証は日本語なので、日本語の名前と英字の名前とでは不一致という判断が下されるかも。国外免許証(法律用語では日本で発給されるものは国外免許証だけど、その免許証には国際免許証と書いてあるらしい。法律用語では、国際免許証というのは外国が発行した国外免許証のこと。)は持ってない。そうすると、政府発行で英字の名前が書いてあるものといえば、小型船舶操縦免許証。これは、ボートに乗って世界の海を航行できるので、英字の名前と英字の生年月日(西暦)が書いてあります。受験票の姓は全部大文字だけど、免許証の姓はイニシャルだけが大文字です。これくらいは許してもらえるでしょう。ライセンスのタイトルは「Permit of Boat's Operator」、発給者は「Minister of Land, Instracture and Transport Japan」。ただし交付日および登録日は「平成19年07月12日」で「平成24年07月11日まで有効」としか書いてありません。この和暦かつ日本語を「Current and Valid」と判断してもらえるかな。
ところで、「buggage」と「luggage」とは、どう違うんでしょうか。

Ticket Agreement

Before accessing your exam admission ticket you must read and agree to the following:

You are required, without exception, to adhere to all published testing policies and follow all instructions announced on exam day.

BEFORE EXAM DAY
You are strongly encouraged to visit your test center before exam day. Directions and special instructions are available for most test centers. It is your responsibility to read and understand all information about your test center.

Many local CFA Institute member societies host events at the test center or after the exam.

EXAM DAY
There are two sessions:
Morning session: 9:00 a.m.–12:00 p.m
Afternoon session: 2:00 p.m.–5:00 p.m.

You must attend both sessions or your exam will not be graded and you will not receive results. You must report to the test center at least one hour before each session. The testing room doors will be closed prior to the start of each session for reading the instructions and late candidates will not be allowed to enter the testing room until after the exam begins. Instructions will not be repeated and no additional testing time will be granted for candidates who are admitted after the start of the exam.

The following items must remain on your desk at all times. No exceptions will be made to these rules:

1. Exam Admission Ticket: You will not be permitted to enter the testing room without a valid ticket. Print one copy of your admission ticket on clean, unused paper and bring it with you to the test center on exam day.
   
2. Identification: Your identification must meet all of the following criteria: 1) Be current and valid − it cannot be expired. 2) Contain your photo. 3) Be issued by a government agency. 4) Be a single document (not a combination of two or more pieces of identification, such as an expired photo driver’s license with a separate renewal certificate). 5) Be an original document. Photocopies of identification documents will not be accepted. You will not be permitted to sit for the exam with an invalid identification. Use of invalid identification will result in CFA Institute voiding your exam results. The CFA Institute preferred form of identification is a valid passport. School and university identification will not be accepted for admittance to the CFA exam.
   
3. Calculator: You may use only the Texas Instruments BAII Plus (including the BAII Plus Professional) and/or the Hewlett Packard 12C or 12C Platinum during the exam. No other calculators are permitted. Use of an unauthorized calculator will result in CFA Institute voiding your exam results and may lead to suspension or termination of your candidacy in the CFA Program. Calculator covers are permitted in the testing room. The Texas Instruments BAII Plus cover contains a keystroke card; the Hewlett Packard 12C has keystrokes printed on the back of the calculator. You may refer to these keystroke instructions during the exam.
   Loose batteries (no packaging) are permitted in the testing room; however, CFA Institute advises you to place fresh batteries in your calculator on the day before the exam. You may keep a small screwdriver with you if necessary to replace batteries in the BAII Plus. Instruction manuals are not permitted in the testing room.
   
4. Writing Instruments: You must bring your own writing instruments on exam day; testing personnel will not provide these to candidates. You must dispose of any packaging before entering the testing room. All candidates must bring sharpened number two or HB pencils and Level III candidates (June exam only) must also bring pens (with blue or black ink) for the essay portion of the exam. Pencil sharpeners will not be provided at the test center.
   

The following items may be kept on your desk, if needed: calculator batteries (and screwdriver for battery replacement), earplugs, erasers, eyeglasses, pencil sharpeners (no knives), and wristwatches (analog and digital) are acceptable; however, audible alarms and/or audible timers must be turned off.

The following items are permitted in the testing room but must remain in your pockets or under your chair when not in use: wallet (money purse), medicine, tissues, and other necessary medical or personal items.

The following items are not permitted in the testing room: food and drinks; baggage of any kind, including transparent bags, backpacks, handbags, tote bags, briefcases, luggage, carrying cases, or pencil cases; study materials, including notes, papers, textbooks, or study guides; scratch paper, present/future value tables, or calculator manuals; highlighters, correction fluid, correction tape, or rulers; knives of any type, including box cutter and X-ACTO® knives for use as pencil sharpeners; BlackBerrys®, cell phones, MP3 players, cameras, pagers, headsets, computers, electronic organizers, personal data assistants, or any other remote communication or photographic devices; any type of desk clock or timer.

Proctors and security personnel may ask to inspect your belongings at check-in to ensure that prohibited items are not carried into the testing room. Please comply with these requests.

IMPORTANT EXAM RULES TO REMEMBER
You are bound by the CFA Institute Code of Ethics and Standards of Professional Conduct (Code and Standards). To comply with the Code and Standards during the exam administration process, you must conduct yourself in a respectful and dignified manner and adhere to published testing policies, proctors’ verbal instructions, and the candidate pledge printed on each morning session exam book or answer sheet. It is important that you remember to read and sign the pledge. Failure to sign will prevent release of your exam results. Rules have been disseminated in various formats, including registration information, the CFA Candidate Newsletter, and this website. Failure to follow any of the CFA Institute published rules will result in cancellation of your scores and may lead to disciplinary sanction:

You must not: bring prohibited personal belongings into the testing room; speak to anyone other than a proctor during the exams; glance or look at another candidate’s exam or give the appearance of doing so; continue to write or erase after time is called; open the exam book until instructed to do so by the proctor; write on anything other than your exam book or answer sheet, including your exam admission ticket; remove exam materials from the testing room; leave the testing room during the final 30 minutes of the exams, except for brief toilet breaks; exit and re-enter the building during the exams, except during the lunch break; create a disturbance; fail to follow the directions of testing personnel.

You must: bring only one copy of your admission ticket printed on clean, unused paper to the test center; give your exam materials and photo identification to the proctor before leaving the testing room for brief toilet breaks; remain seated at the conclusion of the exams until all materials have been collected and reconciled.

CFA試験の受験票はWeb配信ですね。Web配信の特徴をうまく活用しています。受験票受取に先んじて、試験規則をよく読んで同意することを要求するしくみです。日本ではテクニカルアナリスト協会の試験では受験票が配達証明郵便で届くのですが、受取時に判子を押してもその判子の意味は「確かに協会からの郵便物を受け取った」ということ以上ではない(封筒には受験票在中と書いてあるが本当に受験票が入っているか否かを受取時に確認する手段はないので、受験票を受け取ったという意味すらない)し、まして、試験規則への同意を取り付ける意味なんかあるわけがない。

Exam Admission Ticket Policy

Be sure to review your personal information (name, test center) and inform CFA Institute immediately of any errors. The name on your admission ticket must match the name as it appears on your current government-issued photo identification (ID); submit a name change form (PDF) to CFA Institute if necessary. If the names do not match, your exam results may be voided.

Testing facilities may change from year to year; therefore, it is important to note the address on your exam admission ticket and become familiar with the test center location.

Exam admission tickets are only available to candidates online and will be posted on this website in late April (for all levels of the June CFA exam) and late October (for the December Level I CFA exam). CFA Institute does not distribute paper admission tickets.

Before viewing your ticket, you will be prompted to read, and must agree to abide by, the conditions, requirements, policies, and procedures for the CFA Program. CFA Institute strongly encourages you to take the time to carefully read and understand these policies. Violation of any of the rules and regulations of the CFA Program will result in CFA Institute voiding your exam results and may lead to suspension or termination of your candidacy in the CFA Program.

It is your responsibility to print one copy of your admission ticket on clean, unused paper and bring it with you to the test center on exam day. If you do not have internet access, please contact us to obtain your ticket by facsimile. You will not be admitted to the testing room without an admission ticket.

You must not write on the front or back of your admission ticket at any time before, during, or after the exam. The ticket must display the correct exam date and test center. Your ticket will only allow you admittance to the test center shown on the ticket.

タイトルはこれでよかったのか知らん。Materialsの的確な日本語が思い浮かびません。問題冊子と解答シート以外にも何かMaterialsがありそうな気がしますが。兎に角、元ねた試験の問題冊子と解答シートに、goo辞書の栞をつけました。突き合せた上で一致を確認することを、金融機関ではreconcileというようです。某メガバンク系ホールセール銀行で仕事をしていた頃、ホストデータとローカルデータとを照合確認することを「リコンサイル」と言っていました。

Exam Materials

Completed examinations become the property of CFA Institute and will not be returned in either original or copied form.

At the end of each exam session, you must remain seated until all exam materials are collected and reconciled. Because of enhanced exam security, this process may require you to remain seated for additional time after the 12:00 p.m. and 5:00 p.m. end times.

You may not remove any materials from the testing room. If you do not return your exam book and answer sheet before you leave the testing room, your exam will not be graded.

元ねたは、Candidate Pledgeです。いつものように、goo辞書の栞をつけました。英語に不安があれば、Testing Policiesをよく読み、せめてこのページの内容くらいは(試験日に変わるかもと書いてあるけど)頭に入れておかないと誓約書にサインできません。それにしても、Webサイトで述べられているプログラムのあらゆる規則に従うなどということ、日本人の普通の生活では考えられません。アメリカ人はこんな誓約書のサインに慣れているのですね。
日本語版のCFA協会倫理規範および職業行為基準には、
「Ⅶ. CFA協会会員またはCFA受験者としての責務
A. 会員およびCFAプログラム受験者としての行動。
会員および受験者は、CFA協会もしくはCFAの称号の評判や信頼性、またはCFA試験の厳格性、正当性もしくは確実性を損なう行為を行ってはなりません。」
と書いてあります。


Candidate Pledge

Sample Candidate Pledge (may vary on exam day)

As a candidate in the CFA Program, I am obligated to follow Standard VII(A) of the CFA Institute Standards of Professional Conduct, which states that members and candidates must not engage in any conduct that compromises the reputation or integrity of CFA Institute or the CFA designation or the integrity, validity, or security of the CFA exam.

	Prior to this exam, I have not given or received information regarding the content of this exam. During this exam, I will not give or receive any information regarding the content of this exam.
	After this exam, I will not disclose any portion of this exam and I will not remove any exam materials from the testing room in original or copied form. I understand that all exam materials, including my answers, are the property of CFA Institute and will not be returned to me in any form.
	I will follow all rules of the CFA Program as stated on the CFA Institute website and the back cover of the exam book. My violation of any rules of the CFA Program will result in CFA Institute voiding my exam results and may lead to suspension or termination of my candidacy in the CFA Program.

原文は、
Calculator Policyです。同じように、goo辞書の栞をつけました。
「電卓のカバーを試験室に持ち込んでもかまいません。」か。わたしが買うたTexas Instruments BAII Plus Professionalのカバーは真っ黒に染められた皮製で、キーストロークカード(電卓の包装にはカードのことをQuick Reference Cardと書いてある。)は確かに電卓と一緒にカバーに入るくらいの大きさですけど、電卓およびカバー共々キーストロークカードも試験室に持ち込んでもかまわないのか。しかし、キーストロークカードの英語は箇条書きで、Quick ReferenceがあまりにQuick過ぎて分かりません。
「may keep a small screwdriver with you if necessary to replace batteries in the BAII Plus」ですか。わたしが買うたBAII Plus Professionalは、電池交換に精密ドライバー不要です。
電卓の包装には、
Includes

Protective Case

Durable Keypad

Long Life Lithium Battery

Battery Door

Automatic Power DownTM(APOTM);

Rubber Feet(product won't slip around on your desk)

Guide Book

Quick Reference Card
と書いてあります。電池も長持ちしそうです。
ところで、endorseとwarrantとguaranteeとは、一体どう違う?

Calculator Policy

Two models of business calculator are authorized for use on the CFA exams: the Texas Instruments BA II Plus (including the BA II Plus Professional) and the Hewlett Packard 12C (including the HP 12C Platinum). CFA Institute strictly enforces all policies with regard to calculator usage during the exams and candidates are required to abide by the policies of CFA Institute.

Your calculator will be inspected prior to the start of the exam. Your calculator must then remain on your desk in full view and proctors will continue to inspect calculators throughout the administration of the exam. Use of an unauthorized calculator will result in the voiding of your exam results and may lead to the suspension or termination of your candidacy in the CFA Program. Failure by the proctors to detect an unauthorized calculator prior to the start of the exam, or your use of an unauthorized calculator at any time during the exam, does not imply that the calculator is an approved model or that your scores will ultimately be reported.

Calculator covers are permitted in the testing room. The Texas Instruments BAII Plus cover contains a keystroke card; the Hewlett Packard 12C has keystrokes printed on the back of the calculator. Candidates may refer to these keystroke instructions during the exam. Loose batteries (no packaging) are permitted in the testing room; however, CFA Institute advises you to place fresh batteries in your calculator on the day before the exam. You may keep a small screwdriver with you if necessary to replace batteries in the BAII Plus. Instruction manuals are not permitted in the testing room.

Both authorized models of calculators are widely available. If you are unable to purchase one through retail or online, you can purchase by mail, phone or fax from the distributors listed on the CFA Institute website. You can obtain a copy of this list by mail or fax by calling us at +1 (434) 951-5499 or +1 (800) 247-8132. You are encouraged to practice with one of these models as you study, and you may bring more than one of these calculators to the exam. Do not wait until the weeks before the exam to order your calculator or you may not be able to obtain one in time for the exam. Prior to entering the exam room, remember that all programmable calculator memory must be cleared.

Please note that CFA Institute does not profit from the sales of these calculators. While we have asked distributors to make calculators available for sale to candidates, the distributors are solely responsible for the availability, quality and operation of any calculator ordered from them by candidates. CFA Institute does not endorse, warrant, or guarantee the calculators or any other products or services provided by these distributors.

Learn more about the two permitted models, order online, or find local retailers:

Texas Instruments

Hewlett Packard

Find a distributor:

Texas Instruments BA II Plus and Hewlett Packard 12C
Hewlett Packard 12C
Texas Instruments BA II Plus

これが非関税障壁でなくてなんだろう。文句を言う人が少数なのでしょうか。
元ねたCalculator Policyにgoo辞書の栞をつけました。

Calculator Policy

Make sure you have the approved calculator you need for the CFA exams

The full exam calculator policy will tell you everything you need to know before you purchase your calculator and take the exams.

Two models of business calculator are authorized for the exams:

Texas Instruments BA II Plus (including BA II Plus Professional)

Hewlett Packard 12C (including the HP 12C Platinum)

Both authorized models are widely available through retail or online. You can also buy your calculator by mail, phone, or fax from the distributors. Do not wait until a few weeks before the exams to buy your calculator. Buy a calculator early so you can practice as you study.

Find a calculator distributor:

Texas Instruments BA II Plus and Hewlett Packard 12C

Hewlett Packard 12C

Texas Instruments BA II Plus

CFAの6月試験が迫ってきました。12月試験の受験を検討中の方も、そろそろ申し込みを始める頃です。Testing Policiesが日本語になってくれたらうれしいのにと思って、goo辞書の栞を付けてみました。

Testing Policies

We must set and enforce policies and procedures to protect the integrity of the CFA Program and to ensure that the administration of the exams is fair for all candidates. It is your responsibility to read, understand, and comply with all testing policies set forth by the CFA Program. Failure to comply with the testing policies may result in your suspension or termination from the CFA Program.

Testing personnel will circulate throughout the testing room to ensure that candidates are adhering to the testing policies and will perform a second check of calculators and identification during the timed portion of the exam.

Testing Policies

Calculator Policy ­ Only two models of business calculators are authorized for the exams (Texas Instruments BA II Plus including BA II Plus Professional and Hewlett Packard 12C including the HP 12C Platinum). Remember that your calculator will be inspected before and during the exam, and use of an unauthorized calculator is a violation of CFA Institute rules.

Candidate Pledge ­ On the day of the exam, you will be required to sign a pledge affirming that you have not given or received assistance during the exam. If you do not sign the pledge, CFA Institute will not grade your exam.

Exam Materials ­ All exam materials, including exam books and answer sheets, are the property of CFA Institute and must be returned to CFA Institute by testing personnel after every administration. Legal action will be taken against any candidate who removes an exam book (either in part or in whole) from the testing room and/or reproduces it.

Exam Admission Ticket Policy ­ You are required to present an exam admission ticket for admittance to the test center (along with a current government-issued photo identification). Once the tickets are available, an e-mail announcement will be sent to each candidate who has a valid e-mail address on file with CFA Institute.

Identification Policy ­ Your ID will be inspected before the start of the exam. If your ID is determined to be invalid, you will not be permitted to sit for the exam. Once you are seated, your ID must remain on your desk in full view, and proctors will continue to inspect ID throughout the course of the exam.

Misconduct and Rules Violations ­ It is your responsibility to read and understand all testing policies set forth by the CFA Program. Testing personnel will report to CFA Institute any violations of testing rules or policies that occur during the exam.

Personal Belongings Policy ­ Familiarize yourself with the limited number of items that are allowed in the testing room. You are strongly encouraged to leave your personal belongings at home or in your car. Proctors and security personnel will ask to inspect your belongings at check-in to ensure that prohibited items are not carried into the testing room.

Recording Answers and Scratch Paper ­ You must bring your own writing instruments on exam day; testing personnel will not provide writing instruments to you. Only the answers clearly marked on your answer sheet will be graded. Scratch paper is not permitted.

Timing of the Exams ­ Announcements begin prior to the start of the exam. Testing personnel will keep the official time and will tell you when to start and stop work on each separately timed session. You will be informed of the time remaining at specific intervals.

Other Policies
Accommodations ­ Candidates may request accommodations based on their specific needs. All requests must be received by CFA Institute at least 75 days prior to exam day. Late requests will not be considered. There are specific guidelines that CFA Institute must follow to ensure a fair and equitable testing experience for all candidates.

Exam Cancellation ­ If alterations or cancellations occur, you will be notified as soon as possible. However, if the exam proceeds as scheduled and you fail to attend, you will be ineligible for a refund or deferral.

Level I Withdrawal Option ­ Your candidate record will be placed on hold from the exam date until exam results are released, typically 60 days later. If you will not be sitting for the Level I exam, you may avoid having your record placed on hold by notifying CFA Institute that you wish to withdraw your exam registration. This will allow you to re-register for the next Level I exam before exam results are released. However, your registration fees cannot be refunded or deferred.

Policy Changes
CFA Institute may change its conditions, requirements, policies, and procedures governing the CFA Program and CFA Institute membership from time to time. Candidates and members are required to adhere to the revised conditions, requirements, policies, and procedures, which will be published in various CFA Institute publications, including the CFA Candidate Bulletin, CFA Institute newsletters, CFA Institute Bylaws, and on this website.