Series 82 study plan
Series 82 · Give each week a clear focus.
8 weeks · About 7 hours per week
Seeks Business for the Broker-dealer from Customers and Potential Customers
Map Domain 1's prospecting landscape by listing every customer type the firm serves and the products it offers to each
Define and contrast the four customer classifications (retail, institutional, qualified purchaser, accredited investor) from memory
Build a one-page glossary of retail-investor terminology used when opening and servicing prospect relationships
Draft a cold-contact compliance checklist covering permitted hours, do-not-call rules, and required disclosures
Your checkpoint
A one-page Domain 1 prospect-mapping sheet plus a 20-term glossary scored at 90% or better on a self-quiz
Seeks Business for the Broker-dealer from Customers and Potential Customers
Categorize the firm's product shelf by asset class, risk level, and typical suitability profile
Explain how broker-dealers earn revenue from each product line (commissions, markups, 12b-1 fees, concessions) and identify conflicts those create
Practice describing three product types aloud in plain language a retail prospect would understand
Summarize the registration and licensing requirements that gate which products you may discuss with prospects
Your checkpoint
A product-to-revenue-and-conflict table covering at least 12 offerings, plus a recorded 3-minute plain-language product pitch
Seeks Business for the Broker-dealer from Customers and Potential Customers
Identify the prohibited sales practices (misrepresentation, omission of material facts, unauthorized trading, unsuitable recommendations) and write an example of each
Trace how a prospect complaint or regulatory inquiry would be handled from first contact through escalation
Analyze how economic indicators and market conditions shape which products prospects gravitate toward
Draft a needs-discovery question set that surfaces a prospect's time horizon, liquidity needs, and risk tolerance
Your checkpoint
A 15-question dated prospect discovery script plus a 10-item prohibited-practice flashcard set scored cold at 100%
Seeks Business for the Broker-dealer from Customers and Potential Customers & Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives
Rehearse the full prospect-to-client arc from first contact through account-opening paperwork in a timed walkthrough
List every item required in a new-account application and explain why each is collected
Explain the suitability and know-your-customer obligations that attach at account opening
Compare the four customer classifications again, now in the context of which documentation each requires
Your checkpoint
A completed practice new-account packet (mock client) with every field populated and a written suitability rationale, reviewed against the firm's checklist with zero missing items
Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives & Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records
Analyze a mock client's financial profile (income, net worth, liquidity, tax bracket, dependents) and derive an investment objective statement
Distinguish risk tolerance from risk capacity using three contrasting client scenarios
Identify the recordkeeping requirements for account documents and state where each record must be retained and for how long
Describe the difference between discretionary and non-discretionary accounts and the authorization each needs
Your checkpoint
Three one-page client profiles with written objective statements and matching product recommendations, each defended in two sentences
Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records
Explain the components of an investment recommendation (rationale, costs, risks, alternatives) and deliver one orally without notes
Calculate basic cost and return figures for a proposed transaction, including commissions and markups
Summarize the rules governing asset transfers (ACAT, non-ACAT) and the client authorizations each requires
Identify the record retention and confirmation requirements that follow a recommendation
Your checkpoint
A recorded 5-minute unscripted recommendation delivery plus a completed cost-and-return worksheet with all math shown and self-checked
Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records & Obtains and Verifies Customers’ Purchase Instructions and Agreements; Processes, Completes and Confirms Transactions
Walk through the order lifecycle from client instruction to execution, allocation, and confirmation
Distinguish the confirmation and settlement obligations that attach to different transaction types
Explain what constitutes valid client authorization for a trade and how to document it
List the steps to take when a client disputes a trade or a confirmation error surfaces
Your checkpoint
A one-page order-lifecycle flowchart annotated with the rule or obligation that governs each step, plus a mock trade confirmation reviewed for required disclosures
Seeks Business for the Broker-dealer from Customers and Potential Customers & Opens Accounts After Obtaining and Evaluating Customers’ Financial Profile and Investment Objectives & Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records & Obtains and Verifies Customers’ Purchase Instructions and Agreements; Processes, Completes and Confirms Transactions
Re-sit a full-length practice exam under timed conditions and log every missed question by domain
Re-drill the two weakest domains until each missed topic is explained aloud without notes
Rebuild from memory the product-conflict table, the new-account checklist, and the order-lifecycle flowchart
Finalize a one-page pre-exam reference sheet limited to facts you have personally verified
Your checkpoint
A scored full-length practice exam with a domain-by-domain error log, plus a final one-page reference sheet with every weak-area item resolved
Milestones
Week 2: Score 85% or better on a 30-question Domain 1 self-quiz, and explain aloud how the firm earns revenue on three different products
Week 4: Complete the mock new-account packet with zero missing fields and 90%+ on a mixed Domain 1 and 2 quiz
Week 6: Deliver the unscripted recommendation and correctly compute transaction costs on 5 of 5 practice problems
Week 8: Score 80% or better on a timed full-length practice exam with no domain below 70%