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有关CFA考试政策的说明

来源：高顿网校 2013-08-09

　　为了保证全球CFA考试的公正性，确保全球所有的CFA考试都能平等公平的参加考试，美国CFA协会制定并实施了一系列考试归程及考试政策。如果CFA考生不遵守协会制定的考试规定，极有可能影响考生参加考试;如果严重违规，协会有权禁止CFA考生继续参加CFA考试，并取消考试成绩。

　　CFA协会声明，CFA考生有责任了解并遵守这些规定。在考试过程中，考试中心的监管人员有权利向CFA协会报告考生出现的不当行为或违反考试规定的行为。Learn more about misconduct and rules violations（点击了解）

　　下面内容源自美国CFA协会官方网站：

　　ID Policy Change

　　The CFA Program identification policy changed, effective 1 January 2011.

　　Find out how this could impact you.

　　Testing Policies

　　Ⅰ. Admission Ticket Policy

　　Before viewing your ticket, you will be prompted to read and agree to abide by the conditions, requirements, policies, and procedures for the CFA exam. 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. You will not be admitted into 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. Your ticket must display the correct exam date and test center according to our records. Your ticket will only allow you admittance to the test center listed.

　　The information on your admission ticket must match the information as it appears on your valid international travel passport.Submit an Identification Information Change Request （PDF） if necessary. If the information does not match, you will not be permitted to sit for the exam and will forfeit your registration fee. Review the existing identification policy for more information.

　　Find out more about your admission ticket （candidate login required）.

　　Ⅱ.Calculator Policy

　　Only two calculator models are authorized for use during CFA Program exams:

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

　　Hewlett Packard 12C （including the HP 12C Platinum, 12C 25th anniversary edition, and 12C 30th anniversary edition）

　　Both authorized models are widely available through retail stores or online. Buy an approved calculator early so you can practice using it as you study.

　　Bring the approved calculator with you on exam day; calculators will not be available at the test center.

　　Find a Texas Instruments calculator distributor or purchase online.

　　Find a Hewlett Packard calculator distributor or purchase online.

　　Please note that CFA Institute does not profit from the sales of these calculators. CFA Institute does not endorse, warrant, or guarantee the calculators or any other products or services provided by these distributors.

　　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 remain on your desk in full view and proctors will continue to inspect calculators throughout the administration of the exam. Possession or use of an unauthorized calculator at the test center 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, keystroke cards, and loose batteries are permitted in the testing room; instruction manuals are not. You may keep a small screwdriver with you if necessary to replace batteries in the BA II Plus.

　　Ⅲ.Candidate Pledge Policy

　　At the testing center, you will be required to sign a pledge affirming that you have not given or received assistance during the exam.

　　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.

　　Ⅳ. Exam Materials Policy

　　You must attend both sessions or you will not receive exam results. If you do not sit for the morning session, you will not be permitted to sit for the afternoon session.

　　Completed exams become the property of CFA Institute and will not be returned in either original or copied form. You must not remove any materials from the testing room. 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.

　　You must not open the exam or begin work before instructed to do so by the testing personnel. At the end of the exam, you must immediately put pens and pencils down when instructed to do so.

　　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.

　　Ⅴ. Identification Policy

　　Effective 1 January 2011, the CFA Program identification policy changed.Find out how this impacts you.

　　In order to enroll in the CFA Program and to register to sit for the CFA exam, you must have a valid international travel passport. The number on your passport and the country of issuance must be entered during online exam registration. On exam day, the name*, date of birth, passport number, expiration date, and country of issuance on your passport must match the information you provided to CFA Institute.

　　ID requirements are strictly enforced. It is your responsibility to read and understand the instructions and requirements. If you do not present appropriate ID you will not be admitted to the test center and you will forfeit your registration fee. Failure by proctors to detect an invalid passport does not imply the passport is valid or that your scores will ultimately be reported.

　　In order for your passport to be considered valid it must:

　　Be an international travel document. Internal passports used as a national ID are not sufficient.

　　Be current （not expired）.

　　Contain your name, date of birth, passport number, expiration date, and country of issuance exactly as you provided to CFA Institute.*

　　Include a recognizable photograph.

　　Be an original document. Photocopies will not be accepted.

　　This policy sets forth one global standard, in the form of a single document that is both internationally obtainable and recognizable, that allows us to confirm the identity of our candidates, and to ensure that all candidates receive identical treatment during the exam day admissions process.

　　*Acceptable Name Variation

　　Name on PassportName on Admission TicketAcceptable

　　Doe Maria JaneMaria Jane DoeYes

　　Maria Jane DoeJane Maria DoeYes

　　Ⅵ.Personal Belongings Policy

　　You are strongly encouraged to leave your personal belongings at home or in your car. As a courtesy, your test center will have an area away from the testing room designated for personal belongings. If you must bring personal belongings to the test center, please ensure they are clearly identifiable as many items look the same, particularly mobile phones.

　　If proctors or security personnel find items that are not permitted in the testing room, you will be required to place them in the personal belongings area. You will not have access to these items during the exam, only during the lunch break and at the conclusion of the exam.

　　Please note that it is not the responsibility of the proctors or security personnel to ensure the safety of the materials in the personal belongings area. Neither CFA Institute nor the test center, testing personnel, or vendors will assume responsibility or liability for stolen, lost, or damaged personal property left in this area.

　　You must follow these guidelines at your test center. With your cooperation, candidates will be checked in promptly and seated on time.

　　The following items must be kept on your desk:

　　Exam admission ticket

　　Valid government-issued photo identification

　　Approved calculator

　　Writing instruments （pencils for Levels I and II, pens and pencils for Level III）

　　The following items may be kept on your desk, if needed:

　　Pencil sharpeners （no knives）

　　Erasers, with no paper holder or cover
　　Loose calculator batteries （no packaging） and screwdriver for battery replacement

　　Calculator cases and keystroke cards

　　Eyeglasses, but not the eyeglasses case

　　Earplugs

　　Wristwatches （analog and digital）; however, audible alarms and/or 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

　　Gum, hard candy, cough drops

　　Eyeglasses case

　　The following items are not permitted in the testing room:

　　Food or drinks

　　Baggage of any kind, including transparent bags, backpacks, handbags, tote bags, briefcases, luggage, carrying cases, passport covers, 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

　　Mobile phones, MP3 players, BlackBerrys?, cameras, pagers, headsets, computers, electronic organizers, personal data assistants, or any other remote communication or photographic devices　　　　Any type of desk clock or timer

　　Ⅶ.Recording Exam Answers Policy

　　Completing Your Answer Sheet

　　Level I （multiple choice）, Level II （item set）, and the PM session of Level III （item set）

　　It is your responsibility to complete the answer sheet correctly to ensure all information is accurately recorded during grading and your results are correctly reported back to you. See more instructions for completing an answer sheet （PDF）.

　　Failure to follow proper instructions may affect how the scanning machine reads and records your information. Your score is determined solely by the marks read by the scanning equipment. Marks made by a writing instrument other than a No. 2 or an HB pencil, or marks that do not fill an oval completely, may not be read by the scanning equipment. Random marks and poor erasures may be read as your intended answer.

　　Only the answers appropriately marked on your answer sheet will be graded.

　　Completing Your Essay Book

　　Essay Answers for Level III AM Session Only

　　It is your responsibility to complete the essay book correctly to ensure all information is accurately recorded during grading and your results are correctly reported back to you. When completing your essay book:

　　Use blue or black ink

　　Write your CANDIDATE NUMBER and SEAT NUMBER on the front cover of your exam book

　　Sign the candidate pledge inside the front cover. Do not remove the candidate pledge card

　　Essay answers must be written in English

　　Each essay question consists of one or more parts （A, B, C, etc.）. Some parts will direct you to write your answer in a template. Instructions in bold print immediately following the question will direct you to the page number of each template. All other questions should be answered on the lined page（s） following the question. For these questions, label each part of your answer clearly （A, B, C, or i, ii, iii, etc.）

　　If you use all of the designated lined pages, extra lined pages are provided at the back of the book. To use these pages, place a check mark in the box at the bottom of the last page designated for that answer and label the extra pages with the appropriate question number

　　Answers on question pages will not be graded. You may make marks and notes on the question pages

　　Ⅷ.Scratch Paper Policy

　　1. Scratch Paper Policy

　　You are permitted to do scratch work in the exam book on question pages, blank pages, or （for Level III AM session only） the extra pages in the back of the essay book. You are not permitted to remove any pages from the book, including blank pages. Do not use your admission ticket as scratch paper. It is a CFA Institute testing policy violation to write on the front or back of your ticket at any time.

　　2. 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 Institute Bylaws, and on this website.

　　3. Notify Us

　　If you have witnessed or know of a violation of the CFA Program exam policies by a candidate, we encourage you to report violations here.

　　高顿网校特别提醒：已经报名2013年CFA考试的考生可按照复习计划有效进行！另外，高顿网校2013年CFA考试辅导高清课程已经开通，通过针对性地讲解、训练、答疑、模考，对学习过程进行全程跟踪、分析、指导，可以帮助考生全面提升备考效果。
　　报考指南：2013年CFA考试备考指南
　　考前冲刺：CFA备考秘籍
　　高清网课：CFA考试网络课程　　

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