Series 24 Exam
Series 24 Exam Prep
General Securities Principal Examination Prep Course
 $215.00
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Series 24 General Securities Principal
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| $207.95
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Series 24 General Securities Principal Textbook(Pub. 2007) The Series 24 Textbook provides you with all the information that you need to pass the Series 24 Exam. It will be shipped upon purchase in textbook format within 5 – 7 business days. All shipping charges are included in the course pricing. |
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$99.00
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Series 24 General Securities Principal
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Exam Info
| Time Limit: | 3 hours and 30 minutes. |
| Number of Questions: | 150 questions. |
| Passing Score: | 70% |
| Format: | Multiple Choice |
| Enrollment Fee: | $95 US. Note that this is the examination enrollment fee ONLY – other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more information. |
| Pre-requisites: | There are no prerequisites for registration. If registering as an individual, you must complete Form U-10 online or submit the PDF Version. |
| Corequisites: | N/A |
| Exam Date(s): | Any weekday |
| Exam Locations: | Find your U.S. or international exam center |
| Official Exam Website: | http://www.finra.org/RulesRegulation/index.htm |
Course Description
This course is designed for individuals who wish to supervise or manage the general securities activities of FINRA member firm. This would entitle the holder to supervise trades involving corporate securities, direct participation programs (DPP’s) and investment company/variable contracts. An individual registered as a general securities principal is not qualified to function as a municipal securities principal, a registered options principal (ROP), a financial and operations principal (FinOp), or a general securities sales supervisor. The course covers: supervision of investment banking activities, market-making activities, brokerage office operations, regulatory framework of FINRA, and compliance with financial responsibility rules.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual FINRA exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
Learning Objectives
- Learn the basic concepts of insurance
- Learn about the Financing Proposals
- Study the types of Underwriting Commitments, and the Underwriters Compensation
- Understand Formation of the Selling Group
- Learn about Securities and Transactions that are exempt
- Understand various rules and regulations
- Understand various aspects of Market Making and Market Makers
- Learn about Trade Reporting
- Understand the FINRA Conduct Rules
- Learn about the different types of Customers, Customer Accounts & Documents Required
- Understand the workings of Custodial Accounts
- Learn about various Retirement Plans
- Learn the ERISA concepts
- SEC Definitions, Rules on Fraud and Manipulation
- Understand the Regulatory Framework of the FINRA
- Understand the Investment Company Securities
- Learn the Rules of Conduct for Unfair Practices
- Understand the Code of Procedure
- How to Calculate Net Capital
- Understand the Rules and Requirements for Net Capital
- Learn the Rules of Customer Protection
- Learn the Requirements on Financial Reporting
| $257.95
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Series 24 Textbook and Exam Prep Software PackageThe Series 24 Textbook and Exam Prep Software package is a combination of the Series 24 Textbook and Series 24 Exam Prep Software. If you choose to buy these as a package you will save yourself $50. Information about each individual course is available below. |
