FINRA Series 24 Principal Level Exam Prep Training Course & Study Materials
Prepare for your FINRA Series 24 Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
*Actual price may vary depending on package selection.
FINRA Series 24 Principal Level Exam Prep Training Course & Study Materials
Whether you learn best by reading, video, taking notes, or live instruction, we’ve got you covered. We offer flexible learning packages with access to a variety of study tools for every learning preference.
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Hard-Copy Textbook
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Personalized Study Plan
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Best Practice Guide
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Practice Question Sets
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Benchmark Final
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Standard Final Exams
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Custom Exam Generator
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Phone Instructor Support
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Glossary and Acronyms
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TC Critical Facts
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Real-Time Content Updates
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Report Center
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On-Demand Video Lectures
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Checkpoint Exams
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eBook
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SpotCheck Quizzes
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Online Instructor Support
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Online Flashcards
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Live Focused Webinars
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*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com
Virtual Training Schedule - Live Webinars
Reduce the stress of self-study with the Live Online Package and live focused webinars. Available with package purchase, these webinars break down the most challenging exam topics, equipping you to confidently tackle your exams.
Explore our full virtual training schedule below.
Session dates are subject to change. Access Live Focused Review Webinars with the purchase of a Live Online Package.
Additional Study Materials
Looking to supplement the Textbook Package? Browse our additional study materials. The following Study Materials are included in the Online Course and Live Online Study Packages.
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Digital Flashcards
Quiz your knowledge of key concepts! Access digital flashcards without ever leaving your course to aid in studying and improving retention. Included in the Live Online and Online Course Packages.
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Exam Center
Access practice exams that mimic the actual exam. Test at multiple levels to gauge your knowledge level, identify areas needing improvement, and identify your level of readiness for exam day. Included in the Live Online and Online Course Packages.
Learn MoreExam Details
Everything you need to know about the exam before you register and start your preparation journey.
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150
Multiple-Choice Questions
3h 45m
Time to Complete
70%
Passing Score Required
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$175
Exam Cost
What is the Series 24 Exam?
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.
Function 1: Supervision of Registration of the Broker-Dealer and Personnel Management Activities
- Firm and Branch Registration
- File and update Form BD, BDW, BR in CRD
- Understand SEC, SRO, and state registration requirements
- Associated Person Registration
- Pre-hire background checks and Form U4/U5 filings
- Heightened supervision for flagged individuals
- Continuing education requirements (Regulatory and Firm Element)
- Personnel Oversight
- Supervise licensing, disqualification, and termination procedures
- Maintain supervisory records and compliance documentation
Function 2: Supervision of General Broker-Dealer Activities
- Supervisory Systems
- Develop and maintain Written Supervisory Procedures (WSPs)
- Conduct periodic inspections and testing
- Implement Business Continuity Plans (BCPs)
- Conduct Oversight
- Monitor outside business activities, private securities transactions
- Review personal trading and conflicts of interest
- Compensation Practices
- Supervise referral payments, gifts, and non-cash compensation
- Ensure compliance with networking arrangements
- Product Oversight
- Evaluate and approve new products and services
- Conduct ongoing risk assessments and training
Function 3: Supervision of Retail and Institutional Customer-Related Activities
- Customer Communications
- Review advertising, sales literature, and correspondence
- Ensure disclosures and fair presentation of materials
- Account Supervision
- Oversee suitability assessments and account documentation
- Monitor discretionary accounts and margin activity
- Sales Practices
- Prevent unauthorized transactions and excessive trading
- Handle customer complaints and ensure proper escalation
Function 4: Supervision of Trading and Market Making Activities
- Trade Supervision
- Monitor order routing, execution, and reporting
- Ensure compliance with best execution and market access rules
- Market Conduct
- Prevent manipulative practices (e.g., front-running, spoofing)
- Supervise proprietary trading and market making desks
- Error Handling
- Review trade errors and cancel/rebill procedures
- Maintain audit trails and exception reports
Function 5: Supervision of Investment Banking and Research
- Underwriting and Offerings
- Oversee due diligence, disclosures, and syndicate activities
- Monitor conflicts of interest and restricted list management
- Research Supervision
- Ensure independence and compliance with research analyst rules
- Review disclosures and analyst certifications
- Regulatory Filings
- Supervise filings related to public offerings and private placements
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