Post by cxgllc on Apr 29, 2019 6:52:47 GMT -5
The general securities principal exam, commonly referred to as the Series 24 exam, is administered by the U.S. Financial Industry Regulatory Authority (FINRA) which qualifies a registered individual to supervise or manage branch activities such as corporate securities, REITs, variable contracts, and venture capital; a general principal may also approve advertising and sales literature, including communications regarding municipal securities. The exam covers topics such as supervision of investment banking, trading, customer accounts, and the primary/secondary markets.
FINRA Compliance | How to be a Broker Dealer
FINRA Compliance | How to be a Broker Dealer