Hi @Rosemary_Bradtke - I’m happy to help! I’ve listed important topics for both Functions 1 and 3 add provided relevant links to our materials. I recommend focusing primarily on Function 3, as it represents 73% of the exam (91 total questions). Function 1 only represents 7% of the exam (9 total questions).
Function 1 - Seeks Business for the Broker-Dealer from Customers and Potential
Customers - biggest topics:
- FINRA communication rules
- Primary market & relevant rules
Function 3 - Provides Customers with Information About Investments, Makes
Recommendations, Transfers Assets and Maintains Appropriate Records - biggest topics:
- Suitability
- Fundamental analysis
- Product/securities knowledge
- Options
- Benefits, risks, typical investor (BRTI)
Good luck on your retake!