Series 24 Exam: Study Guide & Practice
Offered By: Study.com
Course Description
Overview
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.
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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