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|Major Job Functions||Number of Exam Items|
|(F1) Seeks Business for the Broker-dealer from Customers and Potential Customers||12|
|(F2) Opens Accounts after Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives||08|
|(F3) Provides Customers with Information about Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records||25|
|(F4) Obtains and Verifies Customers’ Purchase and Sales Instructions and Agreements; Processes, Completes, and Confirms Transactions||05|
Exam Duration: 1.5 Hours
No. of Questions/Items: 50
Passing Marks: 70
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