This function focuses on the first stage of client interaction — reaching out, prospecting, and attracting clients.

• Professional approach to potential customers
• Marketing and communication rules
• Identifying potential investors
• Compliance rules and regulations

After acquiring a customer, the next step is opening and setting up their account.

• Customer Information Program (CIP) requirements
• Know-Your-Customer (KYC) rules
• Building client risk profiles
• Understanding investment objectives

This is the largest and most important part of the exam, covering the core job responsibilities.

• Investment products knowledge
• Investment suitability assessment
• Making proper recommendations
• Following Regulation Best Interest (Reg BI)

This function covers the operational side of handling trades.

• Different order types
• Trade execution processes
• Settlement procedures
• Margin requirements