Santa Clara University

Study Materials 2014

The Course Study Materials for the 2014 exams include a binder (supplied by the CEPI) and several reference textbooks.

The CEP Institute Binder contains the syllabi, reading lists and reference documents for all 3 exam levels. Therefore, candidates will receive one binder per calendar year (i.e. if a candidate registers for the June exam and the November exam in the same calendar year, they will receive ONE binder). The binder also contains required readings (reference documents) as outlined in the syllabi. The Binder is included with tuition and is sent to the candidate to the address provided during registration.

In addition to the Binder, candidates are required to purchase additional reference textbooks. Significant discounts have been negotiated for the required textbooks. It is the candidate's responsibility to acquire these additional materials. Confirmation of your registration will include ordering instructions and the corresponding discount codes.

Please note the level(s) for which each reference text is required.

Please note: It is the responsibility of the candidate to make sure that all study materials are applicable to the current calendar year. Please note the edition numbers and/or publication dates to ensure you have the correct books, reading lists and binder material.

1.  All Levels

CEP Institute Binder (2014 Edition) - included with tuition.

Selected Issues in Equity Compensation, 11th Edition, ed. S. Rodrick. (Oakland, CA: National Center for Employee Ownership, 2014).

Wright, Alison, Baker, Alisa J., and Chernoff, Pam, The Stock Options Book, 15th Edition. (Oakland, CA: National Center for Employee Ownership, 2014).

Thomas, Kaye A., Consider Your Options, 2014 Edition. (Lisle, IL: Fairmark Press, Inc., 2014).

GPS Publication - Employee Stock Purchase Plans, CEP Institute 2011

Equity Alternatives: Restricted Stock, Performance Awards, Phantom Stock, SARs, and More (formerly titled Beyond Stock Options), 12th Edition, ed. S. Rodrick (Oakland, CA: National Center for Employee Ownership, 2014).

2.  Levels 2 and 3 only

Baksa, Barbara, Accounting for Equity Compensation, 11th Edition. (Oakland, CA: National Center for Employee Ownership, 2014).

GPS Publication - Restricted Stock and Restricted Stock Units, CEP Institute, 2013

3. Level 3 only

Makridis, Takis, Advanced Topics in Accounting for Equity Compensation, 4th Edition (Oakland, CA, National Center for Employee Ownership, 2014)

Securities Sources for Equity Compensation, 2014 Edition, Certified Equity Professional Institute (Oakland, CA: National Center for Employee Ownership, 2014) - formerly named Tax and Securities Sources for Equity Compensation

GPS Publication - Global Stock Plans, CEP Institute, 2009

GPS Publication - Performance Awards, CEP Institute, 2010

Each candidate is required to bring all study materials (reference texts and CEP Institute binder) required for their level to the exam, as some test questions refer to references. Candidates may also bring notes to the testing center as long as the notes are three-hole punched and included in the CEP Institute study binder. Any papers that are not three-hole punched and included in the binder will not be allowed at the testing session.

The CEP Institute does not currently provide sample study questions - if you are interested in additional resources to assist with your studies, please see the resources and links page.

Additional information for 2014:

  • Thomas, Kaye A., Consider Your Options, has been revised for 2014.  Ensure that you are using the 2014 edition..

Please note:

The CEPI Handbook is no longer included in the Course Binder.  Please review the Certification Information Handbook. You will be held responsible for all of the information contained in the handbook, so please familiarize yourself with all of the information.


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