Series 24 Exam: Study Guide & Practice

Study for your Series 24-General Securities Principal Exam with this complete course explaining all five major job functions of a general securities principal. Our video lessons and self-assessment quizzes will help you feel equipped for exam day.

• 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