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Series 24 Exam: Study Guide & Practice

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Overview

Study for your General Securities Principal Qualification Exam with this Series 24 Exam course and study guide. Our video lessons and quizzes will explain the major job functions of a general securities principal and help you prepare for exam day.

Syllabus

  • Ch 1. RIA & Broker-Dealer Registration
  • Ch 2. Associated Persons Hiring & Registration
  • Ch 3. Supervising General Broker-Dealer Activities
  • Ch 4. Supervising Conduct of Associated Persons
  • Ch 5. Supervising Compensation Practices
  • Ch 6. Supervising Broker-Dealer Products & Services
  • Ch 7. Record Retention & Disciplinary Processes
  • Ch 8. Financial Responsibilities & Cash Management
  • Ch 9. Account Openings & Maintenance
  • Ch 10. Monitoring & Approving Public Communication
  • Ch 11. Reviewing Transactions & Disclosures
  • Ch 12. Order Entry, Routing & Execution
  • Ch 13. Booking & Settlement of Trades
  • Ch 14. Reviewing Executions: FINRA Rules
  • Ch 15. Reviewing Executions: Nasdaq & SEC Regulations
  • Ch 16. Supervising Investment Banking Activities
  • Ch 17. Investment Banking Activities: SEC Regulations
  • Ch 18. Disclosures, Pitch Books & Marketing Materials
  • Ch 19. Supervising Research Reports

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