Exam Name: Securities Operations Foundation Qualification (SOFQ)
Certification Provider: ICMA
Corresponding Certification: Securities Operations Foundation
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Updated: Nov 04, 2026
No. of Questions: 50 Questions & Answers
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- Total Questions: 50
- Updated on: Nov 04, 2026
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SOFQ PDF Practice Q&A's
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ICMA SOFQ Exam Overview:
| Certification Vendor: | International Capital Market Association (ICMA) |
|---|---|
| Exam Name: | Securities Operations Foundation Qualification (SOFQ) |
| Exam Number: | SOFQ |
| Passing Score: | 60% (30/50) |
| Certificate Validity Period: | Valid indefinitely |
| Available Languages: | English |
| Real Exam Qty: | 50 |
| Exam Format: | Computer-based, Multiple-choice questions, Remote proctored |
| Exam Duration: | 120 minutes |
| Exam Price: | GBP 995 (ICMA members), GBP 1,400 (non-members) + VAT |
| Recommended Training: | Official SOFQ Online Course & Study Materials |
| Exam Registration: | ICMA SOFQ Registration |
| Sample Questions: | DOWNLOAD DEMO |
| Exam Way: | Online with remote invigilation; accessible from home/office |
| Pre Condition: | No formal prerequisites; suitable for those entering securities operations |
| Official Syllabus URL: | https://www.icmagroup.org/executive-education/icma-executive-education-courses/securities-operations-foundation-qualification-sofq-online-new/ |
ICMA SOFQ Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulatory & Operational Risk | 10% | - Key operational controls - Regulatory reporting |
| Topic 2: Clearing & Settlement | 25% | - Central vs bilateral clearing - Custody and depository roles - Corporate actions processing - Settlement processes and STP |
| Topic 3: Pre-Trade Environment | 15% | - Master agreements and static data - Client onboarding and KYC |
| Topic 4: Trade Execution & Post-Trade | 20% | - Middle office functions - Trade capture, confirmation and matching - Trading models and systems |
| Topic 5: Position & Collateral Management | 15% | - Repo and securities lending - Funding and short covering - Position reconciliation |
| Topic 6: Introduction to International Securities | 15% | - Primary and secondary markets - Equities vs debt securities - Market participants and roles |
Common Questions About the ICMA Securities Operations Foundation Qualification (SOFQ) Exam
The official ICMA Securities Operations Foundation Qualification (SOFQ) outline splits the exam into 6 domains, led by Trade Execution & Post-Trade (20%), Pre-Trade Environment (15%), and Introduction to International Securities (15%). The complete breakdown is in the topics section above; ActualTestsIT's 50 practice questions cover every domain listed.
A complete preparation package: 50 practice questions for the ICMA Securities Operations Foundation Qualification (SOFQ) exam in three formats — a printable, expert-prepared PDF with instant download; a Desktop Test Engine for Windows that simulates the real exam with two practice modes and works offline; and an Online Test Engine for any browser on Windows, Mac, Android, and iOS with test history and performance review. Also included: a free demo, 365 days of free updates, a 50% renewal discount afterward, unlimited computer installations, 24-hour online customer service, and remote assistance from professional personnel when needed.
The ICMA Securities Operations Foundation Qualification (SOFQ) exam includes 50 to answer within 120 minutes. Rehearsing that pace in the ActualTestsIT Desktop Test Engine turns time pressure into a familiar routine.
No formal prerequisites; suitable for those entering securities operations Rules are updated occasionally, so confirm the current requirements on the official ICMA exam page before you book.
ActualTestsIT issues a full refund if you take the ICMA Securities Operations Foundation Qualification (SOFQ) exam within 60 days of purchase and do not pass. The process is simple: submit a scan of your enrollment slip and the official Score Report PDF within 2 days of the exam, and claims are processed within 7 days. The policy does not apply if the exam is taken within 3 days of purchase, if the exam was never actually taken, or to free materials or expired orders, and the candidate name must match the payer name. Prefer to keep studying? Exchange for two free exam products of equal value and keep your original update service. Orders arrive by email within 1 minute — contact support if nothing arrives within 2 hours.
The SOFQ exam is a ICMA certification exam validating the knowledge in the ICMA Securities Operations Foundation Qualification (SOFQ) syllabus shown above. Candidates take it to prove their skills to employers in 2026's market, and ActualTestsIT prepares them with 50 practice questions in PDF, Desktop Test Engine, and Online Test Engine formats.
ICMA recommends these training resources for the ICMA Securities Operations Foundation Qualification (SOFQ) exam:
Combine the official training with the 50 practice questions from ActualTestsIT — that pairing reveals what you have truly absorbed.
Online with remote invigilation; accessible from home/office Register for the ICMA Securities Operations Foundation Qualification (SOFQ) exam through these official channels:
After booking, your ActualTestsIT practice questions arrive by email within 1 minute — preparation can begin immediately.
The ICMA Securities Operations Foundation Qualification (SOFQ) exam requires 60% (30/50) to pass, and registration costs GBP 995 (ICMA members), GBP 1,400 (non-members) + VAT. Retakes cost the same again, so a readiness check with the ActualTestsIT practice engines is a worthwhile step before booking.
ICMA Securities Operations Foundation Qualification (SOFQ) Sample Questions:
The calculation of profit and loss for securities includes:
- A. Realised (actual) P&Land Unrealised (potential) P&L
- B. Realised (projected) P&L and Unrealised (authentic) P&L
- C. Realised (potential) P&Land Unrealised (actual) P&L
- D. Realised (predicted) P&L and Unrealised (likely) P&L
Correct Answer: A 🗳️
The number of days of accrued interest, and the cash value of accrued interest - on a trade of GBP 30,500,000 Barclays Bank GBP Floating Rate Notes November 2028, paying interest quarterly - the current coupon rate is
3.7162% for the period 21s' November to November 21s' February, trade date 3rd February, value date 5th February, is:
- A. 45 days and GBP 141,680.12
- B. 107 days and GBP 336,883.85
- C. 45 days and GBP 139,739.30
- D. 76 days and GBP 236,004.15
Correct Answer: D 🗳️
Thefollowing is an inaccurate statement:
- A. Warrants have a variable exercise price
- B. Warrants are exercisable by the warrant holder
- C. Warrants will expire if not exercised by the expiry date
- D. Warrants are detachable from the original security
Correct Answer: A 🗳️
The date on which a securities trade is intended to settle is:
- A. The actual settlement date
- B. The trade date
- C. The value date
- D. The contractual trade date
Correct Answer: C 🗳️
The integrity of internal books & records for securities is proven by ensuring:
- A. The total ownership position is equal to the sum of the settled positions plus/minus open trades with counterparties
- B. The total settled position is equal to the sum of open and closed trades with counterparties
- C. The total ownership position is equal to the sum of open and closed trades with counterparties
- D. The total settled position is equal to the sum of open trades and trades with a future value date
Correct Answer: A 🗳️
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