Saturday, April 20, 2013


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

No comments:

Post a Comment