Exam Overview

A CMA mandated exam that is provided in cooperation with the Chartered Institute for Securities and Investment (CISI). This exam is required from persons to be registered as a broker. It covers topics related to the brokerage function such as the Market Conduct Regulations which covers for example legislations related to the prohibition of manipulative and deceptive acts or practices and insider trading. Note: This certificate consists of two exams, and to obtain the CME certificate, you must pass both parts of the exam (A-B).

Target Audience

Passing both the “Securities” exam and the “Saudi Stock Market Rules and Regulations (Brokers)” exam is a requirement for all persons to be registered to perform local or international stock brokerage functions in all their job categories with the Capital Market Institution starting from February 1, 2023.

Job Families
Exam Profiles
Saudi Capital Market Rules and Regulations (Brokers) - (Arabic)
Exam Language

Arabic

Degree of Success

18 Degree

Exam Duration

30 Minutes

Exam Owner

FA , CISI

Eductional Tutorial
Saudi Capital Market Rules and Regulations (Brokers) - (English)
Exam Language

English

Degree of Success

18 Degree

Exam Duration

30 Minutes

Exam Owner

FA , CISI

Eductional Tutorial
Competencies and its Weights

Chapter 1: Market Conduct Regulations: 52%

Chapter 2: Capital Market Institutions’ Conduct: 48%

Exam Requirements

Not Available

Prerequisite Programs

Not Available

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