The Broker Dealer certification exam is designed for professionals looking to confirm their understanding of the Broker Dealer regulations and AxiomSL's Broker Dealer solution. This exam assesses your knowledge of Broker Dealer Regulations (Rule 15c3-1, Rule 15c3-3, and FOCUS Reporting) the Nasdaq AxiomSL data dictionary for Broker Dealer, data processing, solution structure and its key functionalities.  

Key Concepts Validated by the Certification

• Understanding of Net capital and customer reserve calculations and regulations High Level Understanding of the Nasdaq AxiomSL solution
• Broker Dealer data dictionary and data processing
• Main Workflows
• Validations
• Solution output 

Target Audience

The Broker Dealer certification exam is ideal for professionals engaged in Nasdaq AxiomSL implementations, including business analysts, developers, and power business users. 

Exam Details

Group: Functional- Product

Format: Multiple-Choice and True/False questions

No. of credits: 4

No. of questions: 100

Time Allotted: 150 mins

Cost: USD $400

Prepare for Your Exam

This certification exam is based exclusively on the Broker Dealer eLearning course available via the AxiomSL eLearning portal.

While the exam does not include questions from ControllerView 101 or User Training, completing these trainings is strongly recommended to gain a full understanding of the concepts covered in the Broker Dealer material.

This page provides details related to the selected exam only. Purchasing the exam does not provide access to the training material.