The next step is orders, in this case, the square. Laws, Regulations, and Guidelines, Including Prohibition on Unethical Business Practices (45%): This section includes 45 questions on state and federal securities acts along with related rules and regulations, ethical practices, and fiduciary obligations. Complete the calculation inside the brackets first: (3 + 2) 5.
Client/Customer Investment Recommendations and Strategies (30%): The 30 questions in this section include, but are not limited to: types of clients (including individuals, businesses, and trusts and estates), client profiling (including financial goals, current financial status, and risk tolerance), capital market theory, portfolio management strategies, tax considerations, retirement planning, trading accounts, and performance measurement. Investment Vehicle Characteristics (20%): The 20 questions in this section include, but are not limited to: methods used to value fixed-income securities, types and characteristics of derivative securities, alternative investments, and insurance-based products. 
Economic Factors and Business Information (5%): This section includes five questions on financial reporting (such as financial ratios, SEC filings, and annual reports), quantitative methods (such as internal rate of return and net present value), and types of risk (such as market, interest rate, inflation, political, liquidity, and other risks).
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