Series 24 Exam Prep Training Course & Study Materials

Trustpilot
Series 24 securities prelicensing program

FINRA® Series 24 Exam Prep Course

ExamFX has created a comprehensive online training program to ensure candidates are prepared to pass their qualification exam on the first attempt.


RETAIL PACKAGES STARTING AT
$350.00

View Packages and Pricing​*

*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.


Organization Discounts Available

Contact your referring manager or recruiter for information on how to access your organization's portal.

Series 24 Training Package Information

We offer a flexible solution and package designed to help candidates pass their Series 24 exam. Our training provides a variety of helpful study tools that prepares candidates for success.


PACKAGE INFORMATION

ONLINE COURSE PACKAGE
$415		TEXTBOOK PACKAGE
$350
 ONLINE COURSE PACKAGE
$415		TEXTBOOK PACKAGE
$350
Access Days18090
Hard-Copy Textbook
eBook  

Instruction

  
On-Demand Video Lectures  
Personalized Study Plan
Best Practice Guide

Multi-Level Testing

  
SpotCheck Quizzes  
Practice Question Sets
Checkpoint Exams  
Benchmark Final
Standard Final Exams
Custom Exam Generator

Support

    
Online Instructor Support  
Phone Instructor Support

Additional Tools

  
Glossary and Acronyms
Online Flashcards  
TC Critical Facts
Real-Time Content Updates
Report Center

View Packages and Pricing​*
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.

question icon

What is the Series 24 license?

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.
VIEW FINRA SERIES 24 EXAM CONTENT OUTLINE

About the Series 24 Exam

What are the topics covered on the Series 24 Exam?

The Series 24 exam is broken down into four parts (by job function). These topics include: 

  • Regulatory fundamentals and business development
  • Supervision of registration of broker-dealer and personnel management activities
  • Supervision of general broker-dealer activities
  • Supervision of retail and institutional customer-related activities
  • Supervision of investment banking and research

See below for a more detailed breakdown or visit FINRA.

Supervision of registration of broker-dealer and personnel management activities

  • Initiate or terminate the registration of the broker-dealer and physical office locations in the Central Registration Depository (CRD) System by filing, updating or amending appropriate documents
  • Conduct hiring and registration of associated persons and maintenance of registration

Supervision of broker-dealer activities

  • Develop, implement and update firm’s policies, written supervisory procedures (WSP) and controls for applicable rules and regulations; and implement appropriate monitoring and testing
  • Supervise the conduct of associated persons
  • Supervise compensation practices of member, associated persons and other parties
  • Supervise the development, evaluation and delivery of products and services offered by the broker-dealer
  • Take disciplinary or corrective actions relating to the conduct of associated persons; address regulatory actions regarding violations or potential violations of securities industry laws, rules and regulations; and address customer and industry disputes
  • Develop and maintain policies, procedures and controls relating to the creation and retention of books and records
  • Supervise compliance with financial responsibility requirements and funding and cash management

Supervision of retail and institutional customer-related activities

  • Supervise new account opening and ongoing maintenance of existing accounts
  • Monitor, review and approve speaking engagements and other communications with the public
  • Review securities transactions, recommendations and account activity, and verify that required disclosures are made

Supervision of trading and market making activities

  • Supervise order entry, routing and execution
  • Confirm proper booking and settlement of trade
  • Review executions for compliance with trade reporting requirements

Supervision of investment banking and research

  • Develop and maintain policies, procedures and controls; and supervise related investment banking activities
  • Review and approve investor disclosure materials, pitch books and marketing materials
  • Develop and maintain policies, procedures and controls; and supervise activities relating to research

Additional Series 24 Study Materials

If you don’t require a full study program approach and simply need support training resources, we’ve got you covered.

  • Online ExamCenter
  • Online Flashcards

View Packages and Pricing​*
*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.

FINRA Series 24 Exam Details

The Series 24 exam consists of 150 multiple-choice questions. Candidates are given 3 hours and 45 minutes to complete the exam and must achieve a 70% to pass. The cost of the exam is $120. Candidates are required to have successfully completed their Series 7, Series 17, Series 37, Series 38, Series 62, Series 79, or Series 82 exam.

View Packages and Pricing​*

*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com.