Series 24 Training Course
General Securities Principal
The Series 24 eXAM licensing course is CREATED TO GET YOU TO pass your licensing exam FAST! The study course package is perfect for people who have a proven record of success when studying without the direction of a teacher. Begin the prep for the Series 24 exam wit the study text for a thorough viewing that covers every area of the Series 24 Test. We provide the most accurate practice questions and simulated exams to make sure you are ready to take and PASS your exam!
The Series 24 is a 150 scored question multiple choice licensing exam. Each person is given a 3 hour and 45 minute time to complete the test. The passing score for the exam is 70%.
Test Topics and areas Include:
FINRA Rules and Securities Acts - Investment Advisers Act of 1940, Registration and Regulation of Brokers and Dealers
Hiring and registration of associated/registered persons and maintenance of each registration
Electronic Filing Requirements for Uniform Forms and the Filing of Misleading Information as to Membership or Registration, continuing education
Supervising Broker Dealer Business Activities - BD Member Filing and Contact Information Requirements and review of transactions - Supervise the development, evaluation and delivery of products and services by the broker dealer
Maintain books and records of broker dealer - Supervise compliance with financial requirements and funding/cash management of the brokerage firm, Reporting requirements of firm capital condition
Supervise new account opening and ongoing maintenance of existing brokerage accounts
Oversee, review and approve speaking engagements and other communications with the public, including Social media and electronic communications guidelines and “Do Not Call” list procedure
Suitability requirements and Requirements to provide risk disclosures, costs and fees related to investment products and Commission and markup regulations
Supervise order entry, routing and order execution - Market making and quoting, broker dealer order routing, best execution obligations and Regulation NMS. Also, Assignments and Powers of Substitution for Delivery of Securities
Study Calendar - Prepare for your series exam by building a customizable study calendar to schedule daily tasks unique to your study time frame and test date. This interactive calendar helps you plan for specific days off and calculates the average amount of time you will be studying each day. Plan your exam prep around your personal schedule and study preferences.
Series 24 License Study Manual - This comprehensive textbook is the foundation of your series exam preparation. The text addresses key terms and significant topics, broken down into easily digestible units. Units contain multiple graphics, exercises, quizzes, and discussion questions to help you learn faster and remember important information as you prepare for your series exam. The text also includes:
Glossary of common terms
Appendix with commonly used charts
Computer Test Questions - thousands of accurate and exam focused questions with detailed answers. This interactive Series 24 test program allows you to build personalized practice exams based on length and topic of your choice and features unlimited exam attempts that are randomly generated each time. The test program also gives you the ability to:
Complete the exams online or print them out to study later
Review your performance on previously taken exams.
Track time spent on a question and/or exam.
Search for specific questions based on keyword, question ID, or notes.
Create personal notes and bookmarks on questions for future reference.
Build weighted mock exams to provide a comprehensive test review of all material.
Video Library - You can prepare for your exam with this series of short, exam-focused streaming videos designed to provide reinforcement of the core exam topics discussed in the License Exam Manual. They provide an excellent source of review after you have completed your reading and practice questions and help identify areas that you may need further clarification on. The instructor-led reviews:
Are grouped into categories by major topics
Have supporting PDF note pages
Can be viewed anytime, anywhere, and as often as you like
Simulated Final Exams - This exam is designed to test your knowledge at the end of each unit in your License Exam Manual.
Midterm Exam - This exam is designed to test your knowledge at the mid-point of your series exam preparation. Practice Exam - Test your performance with an online collection of practice questions built on the most current test topics. Frequently updated to address the latest regulations, this exam may be taken only once and provides a score with diagnostic feedback. It is designed to be an accurate measure of preparedness before your actual exam. You should carefully review all Series 24 Practice Exam questions and topics prior to your series exam for the best possible results.
Exam Tips & Content Updates - As you prepare for exam day, use this online resource to stay up-to-date on the most current changes and study strategies related to your series licensing exam.