Learn the final transaction-processing and dispute-resolution function on the Series 22 exam.
The fourth Series 22 chapter covers what happens when the customer is ready to invest and when something goes wrong afterward. This means providing subscription and pricing information, processing and confirming the transaction, and escalating discrepancies, complaints, or account issues to the appropriate supervisor. It is a small part of the exam by weight, but it is an easy place to lose points through process mistakes.
Read this chapter as the closing-and-escalation layer of the DPP workflow. The representative has to know how the transaction is documented, how the customer’s agreement is captured, and how breaks or disputes are surfaced instead of ignored.