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Dealer Capital Requirements: What You Should Know


Lesson 1: The Regulatory Requirement for Minimum Capital

  • Describe the primary objective and components of the uniform capital formula.
  • Discuss the common financial risks that dealer members face.

Lesson 2: The Capital Formula

  • Calculate a dealer member’s risk adjusted capital.
  • Determine when a securities concentration charge will be levied against a dealer member.

Lesson 3: The Early Warning System

  • Describe the early warning system and calculate the early warning reserve.
  • Discuss the parameters and sanctions that may apply when a dealer member is in early warning level 1 or level 2.
  • List the various corrective steps a dealer member may take when faced with an inadequate capital position.
Approximate Hours of Study
Hours of Study 2.5 hours
Number of Quizzes 1
Quiz Format Online
Question Format Multiple Choice
Questions Per Quiz 20 questions
Passing Grade 60%*
Attempts Allowed Per Quiz Unlimited
Enrolment Period 6 months

* IMPORTANT: There is no maximum to the number of quiz attempts permitted, but only the first passing grade (60% or over) will appear on official web transcript.

Continuing Education (CE) Credits

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