Track your progress through all exam sections. Print this page or use it digitally. Update weekly—seeing progress builds confidence.
Overall Progress
Section 1: Seeks Business 9%
Target: 5-8 hours | Actual: ______
- Chapter 1: Prospecting Customers
- Lesson 1: Types of Customers
- Lesson 2: Referral Methods
- Lesson 3: Cold Calling Rules
- Chapter Quiz _____%
- Chapter 2: Business Development
- Chapter 3: Compliance in Prospecting
- Section 1 Comprehensive Quiz _____%
- Section 1 Flashcards Complete
Section 2: Opens Accounts 11%
Target: 8-12 hours | Actual: ______
- Chapter 1: Account Types
- Individual Accounts
- Joint Accounts
- Corporate/Partnership
- Trust/Estate Accounts
- Custodial Accounts
- Chapter 2: Customer Profile (KYC)
- Chapter 3: Suitability
- Chapter 4: Account Documentation
- Section 2 Comprehensive Quiz _____%
- Section 2 Flashcards Complete
Section 3: Provides Information 73%CRITICAL
Target: 60-80 hours | Actual: ______
Equity Securities (8-10%)
- Common Stock
- Preferred Stock
- Rights and Warrants
- ADRs
- Subsection Quiz _____%
Debt Securities (10-12%)
- Bond Fundamentals
- Corporate Bonds
- Government Securities
- Money Markets
- Yield Calculations Mastered
- Subsection Quiz _____%
Municipal Bonds (15-20%)
- Municipal Fundamentals
- GO Bonds
- Revenue Bonds
- Municipal Analysis
- Municipal Trading
- MSRB Rules
- Tax-Equivalent Yield Mastered
- Subsection Quiz _____%
Options (25-30%) CRITICAL
- Options Fundamentals
- Options Pricing
- Basic Strategies (Long Call, Long Put, Short Call, Short Put)
- Covered Call & Protective Put
- Spread Strategies (Bull/Bear, Debit/Credit)
- Max Gain/Loss Drill _____%
- Breakeven Drill _____%
- Comprehensive Options Exam _____%
Margin Accounts (10-15%) CRITICAL
- Margin Fundamentals
- Long Margin
- Short Margin
- Margin Calculation Drill _____%
- SMA Drill _____%
Other Topics
- Investment Companies (5-7%)
- Variable Products (5-7%)
- Retirement Plans (5-8%)
- DPPs (3-5%)
- Other Products (3-5%)
- Analysis & Economics (3-5%)
Section 4: Processes Transactions 7%
Target: 5-8 hours | Actual: ______
- Chapter 1: Order Handling
- Chapter 2: Trade Confirmation
- Chapter 3: Settlement
- Chapter 4: Customer Records
- Section 4 Comprehensive Quiz _____%
Practice Exams
| Exam | Date | Score | Weak Areas |
|---|---|---|---|
| Practice Exam 1 | |||
| Practice Exam 2 | |||
| Practice Exam 3 |
Calculation Mastery
| Calculation Type | Drill Score | Date |
|---|---|---|
| Options Max Gain/Loss | ||
| Options Breakeven | ||
| Margin SMA | ||
| Margin Buying Power | ||
| Current Yield | ||
| Tax-Equivalent Yield | ||
| NAV |
Weekly Study Log
| Week | Hours | Focus Areas | Notes |
|---|---|---|---|
| 1 | |||
| 2 | |||
| 3 | |||
| 4 | |||
| 5 | |||
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| 7 | |||
| 8 | |||
| 9 | |||
| 10 |
Exam Day Readiness
- Test center location confirmed
- Valid ID ready
- Formula sheet reviewed
- All weak areas addressed
- Calculation drills at 90%+
- Practice exam scores at 75%+
- Good sleep the night before
- Arrive 30 minutes early