Category: Series 24 Exam Prep

In this article we are going to review the types of activities that may be performed by non-registered individuals who are subject to the fingerprint requirements of FINRA. While these individuals are not required to become licensed to perform the permitted activities, their roles often provide access to sensitive information and documents. A non-registered fingerprint... "Understanding the Role of Non-Registered Fingerprint (NRF) Individuals"

Key Series 24 Test-Taking Tips! How to Pass the Series 24 Examand become a General Securities Principal What is the best way to prepare for the Series 24 exam? We get asked this question all the time. The answers is that, while everyone learns in a different way, there are certain steps that everyone must... "How To Pass The Series 24 Exam"

How To Understand Investment Banking On The Series 24 Exam and Become a General Securities Principal One of the keys to passing the series 24 exam is to make sure that you have a complete understanding of how investment banking will be tested on the Series 24 Exam. This article which was produced from material... "How To Understand Investment Banking"

How To Master Supervision Of Trading And Market Making On The Series 24 Exam and Become a General Securities Principal One of the keys to passing the series 24 exam is to make sure that you have a complete understanding of how supervision of trading and market making will be tested on the Series 24... "How To Master Supervision Of Trading And Market Making"

How To Master Supervision Of Investment Banking On The Series 24 Exam and Become a General Securities Principal One of the keys to passing the series 24 exam is to make sure that you have a complete understanding of how supervision of investment banking will be tested on the Series 24 Exam. This article which... "How To Master Supervision Of Investment Banking"

In the more than 25 years of helping financial services professionals pass more than 400,000 exams, we have had students tell us every possible scenario dreamed up by test takers who have “heard” stories about how FINRA exams are administered. The top 5 myths and misconceptions are as follows: Myth # 1: If you fail... "The Top 5 FINRA Exam Myths"

FINRA has enacted rules to ensure that broker-dealers do not execute orders at prices that are not reasonably related to the market price for a security. An Executive Vice President of FINRA’s Market Regulation Department or Transparency Services Department or any officer designated by the Executive Vice President may declare a transaction to be clearly... "Clearly Erroneous Transactions"

FINRA Rule 3241 is designed to address the potential conflicts of interest that can arise when a registered person is named as a beneficiary, Trustee,  or executor of  a client’s estate. The intent of this rule is to ensure that registered individuals act appropriately and that the employing member carefully supervises the actions of registered... "What Is FINRA RULE 3241"

In this article we are going to review a significant amount of information relating to the supervision of retail communications.  As you prepare to take your principal level exam, you  will want to make sure that you have mastered these topics. This information has been taken directly from our textbooks, video lectures and feedback from... "Supervision of retail communication"

For more than 20 years the Securities Institute has been helping people pass the series 24 exam. In this article we are going to provide you with a comprehensive understanding of how the series 24 exam is designed to test your knowledge. We will also provide you with feedback from test-takers who have detailed their... "Series 24 Exam Best Practices"