Series 24: 3.4.2.2. Interfering With Customer Account Transfers

Taken from our Series 24 Online Guide

3.4.2.2. Interfering with Customer Account Transfers

FINRA prohibits broker-dealers from interfering with a customer’s account transfer request in cases where the customer’s registered representative has changed employment. In other words, a firm cannot prevent customers from transferring their accounts to another firm because their registered representative has moved to that firm.

FINRA Rule 2140

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: 3.4.2.2. Interfering With Customer Account Transfers, you might also be interested in:

Series 7 - 5.4.2.1 Hedging with Protective Puts and Calls

Series 14 - 5.1.6.2. Chief Executive Officer and Compliance Certification

Series 79 - Chapter Eight

Series 50 - Advantages of Advance Refunding

Series 54 - 2.2.2.9. Inadvertent Advice

Series 63 - Exercise

Series 65 - Types of Trading Accounts

Series 65 - 10.10.6.4 Backing Away

Series 79 - Records To Be Kept Current “As to Each Office”

Series 14 - Chapter 7 Practice Question Answers

Series 65 - 4.2.2.1. Hedging with Protective Puts and Calls

Series 65 - Tax Basis

Series 65 - Exercise

Series 82 - More Filing Requirements and Review Procedures

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took another vendors 24 course but it did not compare to how Solomon Exam Prep for Series 24 prepared me. The material and practice exams, especially the timed exams, were broken up by sections, similar to the FINRA Exam. This really helped in allowing me to understand which section(s) I needed to spend more time on/hit harder. Thank you Solomon!!!

Jim Ruckman, Mass Mutual

I watched the videos twice, took notes from them, and took hundreds of practice problems. The test simulator was the best part of the program. I found it helpful that you could go back and look at the questions you missed and use them to help refine what to study. I definitely would recommend the program. Get 85%+ on the practice and you should pass the 24.

Kris Nyden, Seattle, WA

Just wanted to say thank you and give you a good review. I actually found that your test questions were harder than the actual exam and the explanations and the ability to create tests of all of my wrong answers helped me focus on my weak areas of the exam. I passed the first time and don't believe I couldn't have done it without your test bank. Thanks again.

Chris Porosky, FL

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

I stuck to the outline day by day and it really helped me with sticking to a routine and curriculum. I passed the Series 24 on my 1st try! Would definitely recommend this to anyone in the Securities Industry.

Rima Mehta, PNC Investments, Charlotte, NC

I just passed the series 24! It is, by far, the hardest test that I have ever taken. I had failed it 4 times using other study materials. I have never felt more defeated! Solomon Exam Prep is the best! I took over 154 practice tests...without seeing the same question twice. I was able to finally grasp the material and passed! My only regret is that I did not use the Solomon Exam Prep on my first attempt!

Bill Harpe, Capital Choice. Greensboro, GA