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The Broker-Dealer Qualification Certificate (CME-3)

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Certificate WFI

This course prepares trainees to pass the exam of Capital Market Authority (CME-3) in both parts, regulations and operations. CME-2 qualifies a person to obtain a general certificate of dealing in securities. This test is required by the Capital Market Authority in the Kingdom of Saudi Arabia from those persons to be registered with the Authority.

Target Audience:

Registered persons or to be registered with Capital Market Authority (CMA). Independent individuals wishing to develop their knowledge on securities investment, and related  analytical tools in economics, financial statements as well as the relevant law and regulations. Individuals wishing to work in positions which require this certificate. Persons who trade in the Saudi market.


  • Grasp the meaning of the learned material which can be demonstrated by classifying, explaining and distinguishing between things and materials.
  • Use previously learned material in new and concrete situations (i.e. demonstrate, predict, solve, modify, etc.).
  • Break down material into the component parts so that its organizational structure can be understood; ability to recognize causal relationships, discriminate between behaviors, and identify elements that are relevant to the validation of a judgment (i.e. differentiate, estimate, order)
  • Pass CME-3 Exam

Assessment Strategy:

  • Pre and post tests to assess knowledge and learning.
  • Trainees have the possibility, for a month, to perform online a test simulating the actual exam.

Day 1

Module 1: Market securities operations

  • Market securities
  • Securities exchange market
  • Understanding market behavior
  • Financial behavior methodology
  • Evaluation  of securities 

Day 2

Module 2: Regulations organizing the dealers /brokers functions

  • Capital Market Organization and system
  • Securities Business Regulations
  • Authorized Persons Regulations
  • License process

Day 3

Module 3: Authorized Persons Regulations

  • Authorized Persons Regulation
  • System
  • Controlling procedures
  • Requirements
  • Regulation of Market conducts
  • Anti–Money Laundering and Counter Terrorist Financing Rules

5250 SAR

Including VAT

Course Number: INV-CME-112
Course Language: Arabic & English
Duration: 3 Day(s)