Series 24: No Splitting Orders Or Executions For Personal Gain

Taken from our Series 24 Online Guide

No Splitting Orders or Executions for Personal Gain

FINRA prohibits splitting orders into multiple, smaller orders or splitting executions into multiple, smaller executions for the purpose of earning higher commissions or some other form of higher payment. This unlawful act of artificially inflating the number of transactions is known as trade shredding.

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I wanted to let you know I passed the exam [Series 24] this morning! The practice exams were invaluable. Thank you for your extra help and suggestions. I have recommended this to two of my co-workers who will be taking the Series 7 this year. I will say, the 24 was worded so tricky. And so much irrelevant info put into the questions. I had to write down pieces of the question to get the gist of what it was asking. Very purposfully confusing. But it's over and I'm thankful for your product. Thx again

Karmen Richards, Multi Financial Securities, Greensboro, NC

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