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Category: Series 24 Exam Prep

 

How To Master Supervision Of Trading And Market Making

By Securities Institute Staff
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

By Securities Institute Staff
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"

Clearly Erroneous Transactions

By Securities Institute Staff
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"

What Is FINRA RULE 3241

By Securities Institute Staff
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"

Supervision of retail communication

By Securities Institute Staff
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"
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