Series 24
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The general securities principal exam, commonly referred to as the Series 24 exam, is administered by the U.S.
Financial Industry Regulatory Authority The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Associati ...
(FINRA) which qualifies a registered individual to supervise or manage branch activities such as
corporate securities A chief security officer (CSO) is an organization's most senior executive accountable for the development and oversight of policies and programs intended for the mitigation and/or reduction of compliance, operational, strategic, financial and re ...
,
REIT A real estate investment trust (REIT, pronounced "reet") is a company that owns, and in most cases operates, income-producing real estate. REITs own many types of real estate, including office and apartment buildings, studios, warehouses, hos ...
s, variable contracts, and
venture capital Venture capital (VC) is a form of private equity financing provided by firms or funds to start-up company, startup, early-stage, and emerging companies, that have been deemed to have high growth potential or that have demonstrated high growth in ...
; 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. A Series 24 license does not qualify an individual to function as a: * Registered options principal –
Series 4 Series 4 could refer to: * Aston Martin Lagonda Series 4, the automobile model * BMW 4 Series, the automobile model line * GeForce 4 series The GeForce 4 series (codenames below) refers to the fourth generation of Nvidia's GeForce line of graph ...
* General securities sales supervisor for options and municipal securities –
Series 9 The ninth series of the children's television series '' Hi-5'' aired between 11 June 2007 and 10 August 2007 on the Nine Network Nine Network (stylised 9Network, and commonly known as Channel Nine or simply Nine) is an Australian commercial ...
* Municipal securities principal – Series 53 * Municipal fund securities principal – Series 51 * Financial and operations principal – Series 27 * Introducing broker/dealer financial and operations principal – Series 28 The Series 24 Exam is made up of 150 questions. Candidates have up to 3.5 hours to take the exam. 70% (105 correct answers) is considered a passing grade. In order to take the Series 24 exam, a candidate must be sponsored by a member firm of FINRA or another SRO (self-regulatory organization).


See also

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Financial Industry Regulatory Authority The Financial Industry Regulatory Authority (FINRA) is a private American corporation that acts as a self-regulatory organization (SRO) that regulates member brokerage firms and exchange markets. FINRA is the successor to the National Associati ...
(FINRA) * List of securities examinations *
Series 7 Series 7 may refer to: *The seventh season of any of many shows or series; see and *Series 7 exam, officially the General Securities Representative Exam, the most comprehensive financial securities exam offered by the FINRA *'' Series 7: The Conte ...
*
Series 63 The Uniform Securities Agent State Law Examination, commonly referred to as the Series 63, is developed by North American Securities Administrators Association (NASAA) and is administered by the Financial Industry Regulatory Authority (FINRA). The ...


References


External links


SECSeries 24 - General Securities Principal Exam at FINRA.org
United States securities law Standardized tests in the United States Professional certification in finance {{econ-stub