Study with IIA-CFSA-SEC Actual Test Questions
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Updated: Oct 03, 2026
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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 |
| Certificate Validity Period: | 3 years |
| Real Exam Qty: | 115 |
| Exam Duration: | 175 minutes |
| Passing Score: | 600 (scaled 250–750) |
| Related Certifications: | CFSA-Banking CFSA-Insurance |
| Exam Price: | $230 USD (IIA Member), $285 USD (Non-Member) |
| Exam Format: | Multiple-choice |
| 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 |
|---|---|---|
| Auditing Financial Services Processes | 25% | - Reconciliation & Record Keeping - Custody & Asset Servicing - Trade Execution & Settlement - Transaction Lifecycle Controls |
| Auditing Financial Services Products | 30% | - Mutual Funds & Investment Portfolios - Derivatives & Structured Products - Equities & Fixed Income Securities - Securities Valuation & Pricing |
| The Regulatory Environment | 15% | - Regulatory Oversight & Audit - Market Conduct & Investor Protection - Global Securities Regulations - Compliance & Reporting Requirements |
| Securities Specialty (20% of total) | 20% | - Clearing & Settlement Systems - Securities Market Operations - Broker-Dealer & Investment Advisory - Securities Industry Risks & Controls |
| Financial Services Auditing | 30% | - Audit Planning & Risk Assessment - Governance & Risk Management - IIA Standards & Code of Ethics - Internal Control Frameworks |
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