EXCELLENT resource for Series 24 exam facts! At http://www.examfacts.com they have an
excellent study guide filled with basic exam facts for the Series 24 exam.
The book is also available at Amazon.com
Example
Questions from the Exam Facts Series 24 Book:
Define what is kept at OSJ and Supervisory
office
Members written Supervisory Procedures
Finra Manuel - Must be available to customers
Electronically available ok
Define Telemarketing Recording Reports sent to
Finra
Quarterly
Define Regulation M
Governs activities of interested parties in
outcome of APO. Syn Mem, MM, Issuers, Officers, etc.
Define Lifetime Records
Stock Certificate Books
Partnership Articles
Articles of Incorporation
Meeting Minutes
Define G-37 reports to MSRB sent
Quarterly
Define Sales literature for 1sy year B/D sent
to Finra
10 business days before first use

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