Real IIA IIA-CFSA-SEC practice exam questions for easy pass!
Last Updated: Aug 17, 2026
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| Section | Weight | Objectives |
|---|---|---|
| Auditing Financial Services Products | 30% | - Securities Valuation & Pricing - Derivatives & Structured Products - Equities & Fixed Income Securities - Mutual Funds & Investment Portfolios |
| Auditing Financial Services Processes | 25% | - Trade Execution & Settlement - Reconciliation & Record Keeping - Custody & Asset Servicing - Transaction Lifecycle Controls |
| The Regulatory Environment | 15% | - Compliance & Reporting Requirements - Market Conduct & Investor Protection - Global Securities Regulations - Regulatory Oversight & Audit |
| Securities Specialty (20% of total) | 20% | - Clearing & Settlement Systems - Securities Market Operations - Broker-Dealer & Investment Advisory - Securities Industry Risks & Controls |
| Financial Services Auditing | 30% | - Governance & Risk Management - IIA Standards & Code of Ethics - Internal Control Frameworks - Audit Planning & Risk Assessment |
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