Series 24 Exam Prep Training Course & Study Materials

Series 24 securities prelicensing program

FINRA® Series 24 Exam Prep Course

ExamFX has created a comprehensive online training program to ensure candidates are prepared to pass their qualification exam on the first attempt.

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Series 24 Training Package Information

We offer a flexible solution and package designed to help candidates pass their Series 24 exam. Our training provides a variety of helpful study tools that prepares candidates for success.

PACKAGE INFORMATION

			SELF-STUDY PACKAGE
			$219.95 - REGISTER NOW
90 Days Course Access
Interactive Learning Portal
Chapter Quizzes
Practice Exams
Readiness Exam
Instructor Support

What is the Series 24 license?

The Series 24 license allows individuals responsible for the management or supervision of a Financial Industry Regulatory Authority (FINRA) member's investment banking or securities business. It qualifies the individual as the General Securities Principal.
VIEW FINRA SERIES 24 EXAM CONTENT OUTLINE

About the Series 24 Exam

What are the topics covered on the Series 24 Exam?

The Series 24 exam is broken down into four parts (by job function). These topics include:

Regulatory fundamentals and business development
Supervision of registration of broker-dealer and personnel management activities
Supervision of general broker-dealer activities
Supervision of retail and institutional customer-related activities
Supervision of investment banking and research

See below for a more detailed breakdown or visit FINRA.

Supervision of registration of broker-dealer and personnel management activities

Initiate or terminate the registration of the broker-dealer and physical office locations in the Central Registration Depository (CRD) System by filing, updating or amending appropriate documents
Conduct hiring and registration of associated persons and maintenance of registration

Supervision of broker-dealer activities

Develop, implement and update firm’s policies, written supervisory procedures (WSP) and controls for applicable rules and regulations; and implement appropriate monitoring and testing
Supervise the conduct of associated persons
Supervise compensation practices of member, associated persons and other parties
Supervise the development, evaluation and delivery of products and services offered by the broker-dealer
Take disciplinary or corrective actions relating to the conduct of associated persons; address regulatory actions regarding violations or potential violations of securities industry laws, rules and regulations; and address customer and industry disputes
Develop and maintain policies, procedures and controls relating to the creation and retention of books and records
Supervise compliance with financial responsibility requirements and funding and cash management

Supervision of retail and institutional customer-related activities

Supervise new account opening and ongoing maintenance of existing accounts
Monitor, review and approve speaking engagements and other communications with the public
Review securities transactions, recommendations and account activity, and verify that required disclosures are made

Supervision of trading and market making activities

Supervise order entry, routing and execution
Confirm proper booking and settlement of trade
Review executions for compliance with trade reporting requirements

Supervision of investment banking and research

Develop and maintain policies, procedures and controls; and supervise related investment banking activities
Review and approve investor disclosure materials, pitch books and marketing materials
Develop and maintain policies, procedures and controls; and supervise activities relating to research

Additional Series 24 Study Materials

ExamFX offers candidates all the study materials they need to be successful in passing their qualification exam. In addition to our online learning platform, we offer printed study materials that help candidates throughout their learning. Our Study Guide can easily be added to any package during checkout.

ExamFX Series 24 packages include unlimited practice exams, designed to the simulate qualification exam. Learn more about these additional study materials by clicking below.

FINRA Series 24 Exam Details

The Series 24 exam consists of 150 multiple-choice questions. Candidates are given 3 hours and 45 minutes to complete the exam and must achieve a 70% to pass. The cost of the exam is $120. Candidates are required to have successfully completed their Series 7, Series 17, Series 37, Series 38, Series 62, Series 79, or Series 82 exam.

What is the ExamFX Readiness Exam?

ExamFX is so confident in our training program that we guarantee users who successfully complete the Readiness Exam will pass their licensing exam on their first attempt! If you do not pass your licensing exam within three days after scoring 80% or higher on the Readiness Exam, we will refund the cost of your course. It is that simple. Some restrictions may apply.