Wiley Series 24 Exam Review 2013 + Test Bank The General Securities Principal Qualification Examination |
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| Author:
| Securities Institute of America. Inc., Staff, |
| Series title: | Wiley FINRA Ser. |
| ISBN: | 978-1-118-67580-9 |
| Publication Date: | Jul 2013 |
| Publisher: | John Wiley & Sons, Incorporated
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| Book Format: | Ebook |
| List Price: | Contact Supplier contact
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Book Description:
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The FINRA General Securities Principal Qualification Examination (Series 24) is designed to test a candidate's knowledge of the rules and statutory provisions applicable to the management of a general securities broker-dealer. It qualifies a principal to supervise and manage a firm and its agents, conducting a general securities business. Each book is accompanied by an online test bank with 145 questions, organized by chapter. The questions included in the book have been...
More DescriptionThe FINRA General Securities Principal Qualification Examination (Series 24) is designed to test a candidate's knowledge of the rules and statutory provisions applicable to the management of a general securities broker-dealer. It qualifies a principal to supervise and manage a firm and its agents, conducting a general securities business.
Each book is accompanied by an online test bank with 145 questions, organized by chapter. The questions included in the book have been included in this online test bank
Topics Covered:
- Supervision of Investment Banking, Underwriting & Research
- Supervision of Trading and Market Making
- Supervision of Brokerage Office Operations
- Sales Supervision & General Supervision of Employees
- Compliance with Financial Responsibility Rules
Test: 150 questions; three hours and 30 minutes; candidate must answer 70% of questions correctly to pass.
Pre-requisites: A general securities principal must have passed the Series 62 or Series 7 exam prior to taking the Series 24 exam. All candidates must be sponsored by a FINRA member firm to take the series 24 exam.