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🇸🇦 Capital Markets Compliance
CME-3B: Saudi Capital Market Rules and Regulations – Brokers
Prepare for the Saudi CME-3B examination covering market conduct and the conduct obligations of Capital Market Institutions serving brokerage clients.
Verified against the July 2026 English workbook and current Financial Academy exam specification through 30 September 2026.
100 Unique Questions · 5 Mocks × 25 Detailed Study Notes Realistic mock exams
Course syllabus information reviewed for 2026. Always check the awarding body’s latest official syllabus and candidate updates before booking or sitting your exam.
Exactly what is included
- 5 mock exams × 25 questions · 100 unique questions · 125 total question slots · unlimited retakes
- Focus Learn · key areas, pitfalls, exam traps & key numbers
- Flashcards · fun, fast and effective recall
- Exam cheat sheet · key facts, rules and numbers by chapter
- Audio Learning · every chapter in audio
- AI Analyzer & Mentor · pinpoints your weak areas
- Study Mode Exams · learn while you train
- AI Chat trained specifically for this exam
- Community-polished data, improved every day
- Up-to-date, accuracy-checked content
AI Audio Summaries New
Listen to course modules on the go. Perfect for studying while driving or commuting.
🎧 Audio
* This is a chapter sample. All audio is available in the full version.
Syllabus
Module 1: Market Conduct Regulations 13 marks out of 25
🎧 Audio
Chapter 1
- • Manipulative and Deceptive Acts
- • Untrue Statements and Rumours
- • Insider Trading
Module 2: Capital Market Institutions' Conduct 12 marks out of 25
Chapter 2
- • Principles and Client Classification
- • Client Orders, Best Execution and Aggregation
- • Advice, Research, Inducements and Confidentiality
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Real Reviews, Real Results
From finance professionals who prepared and passed their CISI exams.
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VERIFIED · Aug 1, 2026
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Great value and clear explanations
Great practice tool. The AI mentor helped me spot my weak areas instantly, which saved me so much time during my final revision week.
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Emma R.
VERIFIED · Jul 30, 2026
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Trustpilot
Passed on my first attempt
The material covers the core topics exceptionally well. It's much easier to digest than the dry official workbook. Used it daily on my commute and passed my exam.
Interactive preview
Free CME-3B: Saudi Capital Market Rules and Regulations – Brokers Practice Questions & Exam Preview
Try 15 CME-3B: Saudi Capital Market Rules and Regulations – Brokers practice questions from Market Conduct and Client Orders
Practice CME-3B: Saudi Capital Market Rules and Regulations – Brokers exam questions with answers and explanations. The full course includes 5 mock exams and complete syllabus coverage.
Exam Preview
Market Conduct and Client Orders
Which outcome is one of the two central purposes prohibited by the Market Conduct Regulations?
1 / 15
Flashcards
Card 1 of 10Market Conduct
Question
What two market effects are prohibited manipulation intended to create?
Tap to reveal answer
Focus Learn
- The two prohibited manipulation purposes: false market activity or interest, and artificial price levels.
- Fictitious trades, matched orders, successive-price patterns, closing-price conduct and non-executable orders.
- Rumours, untrue statements, material omissions and the claimant tests for damages.
- The three-part definition of inside information and its distinction from market manipulation.
- Direct and indirect trading, covered securities and categories of insider.
- Disclosure restrictions, recipient liability and liability for another person's acts.
- The three-day notification and ten-year record-retention duties when a suspicious order is refused.
Chapter 1: Market Conduct Regulations
The Market Conduct Regulations protect confidence in the Saudi market by prohibiting manipulative and deceptive conduct in transactions and orders involving listed securities. A person breaches the prohibition when they engage in or participate in manipulation while knowing, or having reasonable grounds to know, the nature of the conduct. The core tests are whether an order or transaction is intended to create a false or misleading impression of trading activity or interest, or to create an artificial bid, ask or execution price.
A fictitious trade does not produce a genuine change in beneficial ownership. Other prohibited patterns include coordinated orders of substantially the same size, time and price; purchases or purchase offers at successively higher prices; sales or sale offers at…
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Preparation Package at a Glance
| Feature | Exams Academy | Details |
|---|---|---|
| Access Period | Lifetime Access | One-time enrollment with no recurring fee |
| Practice Exams | Unlimited Retakes | 100 unique questions across Mocks 1-4 |
| Study Support | Instant 24/7 AI Tutor | Self-service AI support; live instructor support is not included |
| Cost | $104 (One-Time) | One-time payment with no recurring subscription |
Preview & See What You Will Get
Frequently Asked Questions
It is mapped to syllabus version 1.0 and the English workbook version 1.9 dated July 2026, valid for examinations through 30 September 2026.
You get lifetime access. Study at your own pace.
Yes. Each mock contains 25 questions, lasts 30 minutes, requires 17 correct answers and uses the central official weighting of 13 Market Conduct and 12 CMI Conduct questions.
The English learning material and practice bank are grounded in the current official Financial Academy/CISI workbook and the current Financial Academy exam specification.
We do not guarantee a pass — success requires reading the official workbook and using our materials for active revision. However, our system is designed around recall-based learning, which is proven to significantly improve retention and exam performance.
No previous qualifications or work experience are required. Our materials are structured to help both newcomers and experienced professionals looking to formalise their knowledge.
Yes — the official workbook is recommended for full exam preparation. Our course is designed as a powerful revision companion that distils the most exam-relevant content into flashcards, cheat sheets, and mock exams to accelerate your preparation.
Yes! Test your knowledge and review detailed explanations with the free CME-3B: Saudi Capital Market Rules and Regulations – Brokers Mock Exam Preview below. It contains 15 exam-style questions from one named topic; the full course provides complete mock exams and syllabus coverage.
No. Saudi registered-person pathways use the Financial Academy's CME examinations. The required A technical unit and B rules-and-regulations unit depend on the registered function. Confirm the requirement with the employer and regulator before booking.
Use the Financial Academy page for the exact CME examination and language you intend to take. Assessment format, availability and fees differ by CME code, so confirm the selected examination page before booking.
Exams Academy course access is a separate US-dollar purchase. Official examination and workbook charges are not included; check the Financial Academy page for the exact CME examination before payment.
Key Benefits
AI Audio Summaries New
Listen to course modules on the go. Practice anytime, anywhere - even while driving or commuting.
- ✓ Studio-quality AI voice narration.
- ✓ Perfect for auditory learners.
- ✓ Maximize your study time during daily commutes.
Listen to a sample
Five Full Exam Simulators
Practise under the official 25-question and 30-minute conditions.
- ✓ Each paper uses the official 13/12 element weighting.
- ✓ The exact raw pass boundary is 17 correct answers.
- ✓ Foundations, applied, advanced, final-practice and mixed papers.
100 Unique Exam-Style Questions
Four unique 25-question banks plus an evenly sampled mixed paper.
- ✓ Scenario-based questions for practical application.
- ✓ Detailed Step-by-Step Explanations for every answer.
- ✓ Metrics to track speed and accuracy over time.
AI-Powered Study Assistant
An AI chatbot trained on CMA regulations — ask it anything, anytime.
- ✓ Instant Clarification for complex rules.
- ✓ 24/7 Availability whenever you're in the study zone.
- ✓ Tailored Explanations in plain business logic.
Rapid-Recall Digital Flashcards
Digital flashcards optimized for quick reinforcement during short breaks.
- ✓ Critical thresholds and reporting timelines.
- ✓ Designed to make easy points stick permanently.
- ✓ Mobile-ready for study on the go.
High-Yield Cheat Sheets
The distilled 'Golden Rules' of the Saudi Regulatory landscape.
- ✓ Condensed summaries of CMA requirements.
- ✓ Designed for rapid recall in the final hours.
- ✓ Precise timing, order-handling and confidentiality distinctions.
Exam Format & Details
| Assessment | Multiple-choice examination |
| Duration | 30 Minutes |
| Standard Pass Mark | 68% |
CME-3B exam preparation for securities brokers
Study the two official syllabus elements through focused summaries, rapid-recall resources and five timed practice papers. Every mock uses the official 25-question, 30-minute format and the published raw pass boundary of 17 correct answers.
The practice bank covers market manipulation, untrue statements, insider trading, client-order handling, best execution, aggregation, research conflicts, inducements and confidentiality. It is a revision companion to the official workbook, not a reproduction of live examination questions.
Who Is This For?
✓ Brokers operating in KSA
✓ Brokerage and capital markets professionals
✓ Professionals preparing for CME-3B
✓ Finance professionals dealing with Saudi regulations
🇸🇦 Local market guide
CME-3B: Saudi Capital Market Rules and Regulations – Brokers in Saudi Arabia: pathway, booking and careers
Review how CME-3B: Saudi Capital Market Rules and Regulations – Brokers connects to regulation, qualification pathways, booking, currency and careers in Saudi Arabia before paying the official exam fee.
Regulator and qualification pathway
Saudi registered-person pathways use the Financial Academy's CME examinations. The required A technical unit and B rules-and-regulations unit depend on the registered function.
Capital Market Authority and Financial AcademyBooking and official examination
Use the Financial Academy page for the exact CME examination and language you intend to take. Assessment format, availability and fees differ by CME code, so confirm the selected examination page before booking.
Browse official Financial Academy servicesCareer and employer context
Saudi CME pathways are role-based. Asset-management, advisory, compliance, broking and corporate-finance functions use different examination combinations, so the employing firm's compliance team should confirm the correct pair.
Price and currency
Exams Academy course access is a separate US-dollar purchase. Official examination and workbook charges are not included; check the Financial Academy page for the exact CME examination before payment.
Market-specific reading
Understand the pathway before booking
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CME-3B: Saudi Capital Market Rules and Regulations – Brokers
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