Iran Capital Market Dealing Exam study plan

Map the regulatory hierarchy (securities market law, supervisory body regulations, exchange and CSDI rules) and state which layer governs each of five common market activities

Define the licensing and registration categories for dealers, brokers, advisors, and fund managers, and list the capital and reporting obligations attached to each

Explain the core investor-protection rules: disclosure duties, prohibition of market manipulation, and insider dealing, with one concrete example of a breach for each

Identify the supervisory and enforcement powers of the market authority, including inspection, sanction, and suspension tools

Trace the rule-making and approval process for new instruments and for exchange listing, and list the documents a listing applicant must submit

Distinguish the duties owed to clients from those owed to the market, and apply them to three conflict-of-interest scenarios

Explain the consequences of failing to disclose material information and of front-running a client order

Draft the key compliance controls a dealing firm must maintain under the conduct rules

Describe the roles of the regulator, exchanges, the central securities depository, clearing house, and registry, and state the handoffs between them

List the participant categories (broker, dealer, market maker, institutional investor) and the functions each may perform

Explain the order types available on the exchange and the matching rules that apply to each

Sequence an order from client instruction through validation, routing, execution, and confirmation

Identify the trading halts, price limits, and circuit-breaker mechanisms and when each is triggered

Distinguish ordinary shares, preferred shares, and non-voting shares by rights to dividend, voting, and residual assets

Explain the mechanics of a rights issue, including subscription period, entitlement ratio, and treatment of unsubscribed rights

Describe corporate actions (bonus shares, stock splits, capital increases, dividend distribution) and their effect on price and share count

Calculate the theoretical ex-rights and ex-dividend price for three worked examples

Classify sukuk structures (ijara, murabaha, musharaka, wakala) and explain the asset backing and return mechanism of each

Compare sukuk with conventional bonds on risk, pricing, and Sharia compliance constraints

List the money market instruments available and their typical tenor, issuer, and use case

Explain the structure and pricing of collective investment schemes, including unit valuation and fees

Describe the disclosure and reporting duties of fund managers to unit holders

Explain the clearing and settlement cycle, including netting, novation, and the role of the central counterparty

Describe delivery-versus-payment mechanics and the consequences of a settlement failure

List the customer due diligence steps required at onboarding and the triggers for enhanced due diligence

Identify suspicious transaction indicators relevant to securities accounts and the reporting obligation that follows

State the record-keeping requirements for client identification and transaction records

Rehearse order-handling edge cases: client priority, best execution, error trades, and order cancellation rules

Re-derive the corporate-action calculations from week 4 without notes

Re-derive sukuk pricing and yield relationships from week 5 without notes

Complete a timed 60-question mixed set covering domains 3, 4, and 6 and review every wrong answer

Recite the key regulatory thresholds, deadlines, and reporting periods from memory across all domains

Work through ten ethics and AML mini-scenarios and justify each decision in one sentence

Complete two full-length timed mock exams under exam conditions and score them

Target the three weakest topics identified in the error log and close them with focused re-reading