🇸🇦 Capital Markets Compliance

CME-3B: Saudi Capital Market Rules and Regulations – Brokers

Official CISI Accredited Training Partner

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 Practice Questions 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.

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.

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.

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

Student Reviews

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I work on a trading floor where this certification is required. The course content fits our daily operations perfectly and is easy to follow.

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 syllabus topic; the full course provides complete mock exams and syllabus coverage.

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

Question 1 of 15

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

Key Examinable Areas7

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.

Common Pitfalls to Avoid4

Exam Traps4

Key Numbers3

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…

Unlock all Focus Learn

Open every chapter’s key areas, pitfalls, exam traps and key numbers.

Adaptive study tools

Focus weak topics, learn with feedback, then switch to exam conditions.

Practice modes

Learn first. Then prove you’re ready.

Learn with feedback, then switch to exam conditions.

Study Mode

Instant feedback & explanations

See the answer and explanation after each choice.

Exam Mode

Realistic exam simulation

Use the timer, keep answers hidden, then review your result.

Who Is This For?

✓ Brokers operating in KSA

✓ Brokerage and capital markets professionals

✓ Professionals preparing for CME-3B

✓ Finance professionals dealing with Saudi regulations

★★★★★ 4.8 (164 global students)