ICMA SOFQ : Securities Operations Foundation Qualification (SOFQ)

  • Exam Code: SOFQ
  • Exam Name: Securities Operations Foundation Qualification (SOFQ)
  • Updated: Jul 30, 2026
  • Q & A: 50 Questions and Answers

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ICMA SOFQ Exam Syllabus Topics:

TopicDetails
Topic 1
  • Trade Execution and Immediate Post-trade
  • Demonstrate an understanding of how equities and bonds are brought to the marketplace
Topic 2
  • Role of Client Onboarding
  • An Introduction to International Securities
  • Recognise and identify corporate actions
Topic 3
  • Identify fundamentals of trade management, including repo and securities lending & borrowing transactions
  • Trade Capture and Confirmation
Topic 4
  • Identify and understand the roles of the major securities market participants
  • Trading Paradigms: Flow and Proprietary Trading
Topic 5
  • Demonstrate how Operations manages the securities through its various activities
  • Identify the similarities and differences between equities and bonds
Topic 6
  • Basics of Repo and Securities Lending & Borrowing
  • Regulatory Reporting Requirements

Reference: https://www.icmagroup.org/executive-education/courses/securities-operations-foundation-qualification-sofq-3/

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