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Question 1
Under the CMA Market Conduct Regulations, which activity is a clear example of prohibited market manipulation?
Correct Answer:
Placing wash trades that create a false appearance of trading activity in a listed security
Question 2
Which body issues and enforces the Market Conduct Regulations that govern conduct in the Saudi capital market?
Correct Answer:
The Capital Market Authority (CMA)
Question 3
An employee of a listed company learns of an unannounced acquisition and buys the company's shares before the news is public. Under the Market Conduct Regulations this is best described as:
Correct Answer:
Insider trading
Question 4
Which of the following best defines 'inside information' under the Market Conduct Regulations?
Correct Answer:
Information of a precise nature, not made public, relating to a security or its issuer, which would likely affect the price if disclosed
Question 5
A trader places large buy orders with no intention of executing them, cancelling them once the price moves, to mislead other participants. This practice is known as:
Correct Answer:
Spoofing
Question 1
Exam overview

About this Exam

Prepare with the Saudi CME-3B Practice Questions - CME-3B - Saudi Capital Market Rules and Regulations (Brokers) Exam practice quiz. This question bank includes 100 questions covering market, conduct, client, regulations, and capital. Use it to review important concepts, identify knowledge gaps, and build confidence for the related exam, course, or assessment.

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Saudi CME-3B Practice Questions - CME-3B - Saudi Capital Market Rules and Regulations (Brokers) Exam

This practice set contains 100 questions from the matching question bank and focuses on market, conduct, client, regulations, and capital. Work through each question carefully, review the provided solutions, and revisit topics that need more study before your next attempt.

This is an independent study resource intended for practice and review; it is not an official examination or an endorsement by any organization named in the title.

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