Series 24: Member Supervisory Responsibilities And Procedures

Taken from our Series 24 Online Guide

Member Supervisory Responsibilities and Procedures

By Section 15(b)(4) of the Exchange Act, the SEC may take punitive action against any broker-dealer that has willfully violated, enabled the violation or failed to supervise a violator of applicable securities law and regulations under his employ. The Act goes on to say, however, that no supervisor will have failed in his dutie

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: Member Supervisory Responsibilities And Procedures, you might also be interested in:

Series 65 - Low-Risk DPPs

Series 7 - 14.2.4. Prime Brokerage Accounts

Series 7 - 1.3 Preferred Stock

Series 24 - Reporting Cancelled Trades

Series 24 - 5.5.2.3.1. Floor Brokers

Series 24 - 2.8. Financial Responsibility Rules

Series 22 - Financial Exploitation of Vulnerable Adults

Series 14 - 9.1.3.1.1. Retail Communications

Series 26 - Forwarding of Securities Information and Proxy Materials

Series 65 - 1.4.1.5.1 Working Capital

Series 28 - Calculating a Firm’s Net Capital

Series 3 - Exercise

Series 54 - 1.5. Municipal Advisor Registration Exemptions

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I used Solomon to sit Series 24 and Series 79, passing with 81% and 88% respectively. Having looked at other material providers, Solomon stands out because of their prompt replies to student questions and the completeness of the answers provided – they are the best out there!

Chris Brice,CFA Bell Potter Cantley, Québec, Canada

I would like to say that Solomon test prep had the most varied and comprehensive test bank I have seen. The questions ranged in difficulty and the answer feedback was so detailed, that I felt that I was mastering concepts rather than trying to pin down certain facts in a question just to get the 'one,' answer. I saw many iterations of the sample examinations, and with the courage to keep clicking next and learning, I passed with a score I'm more than happy to claim. Also, the staff are very responsive. I'll be coming back.

Neil, San Diego, CA

I passed the 24 with the help of the audio, book and test questions. I previously took this test and failed walking away with the thought nothing I studied looked familiar. I also didn't really understand how certain areas functioned... but found the information provided with Solomon worked best for me. The flow charts and extra resources section were extremely helpful in breaking down sections of this "Dry" test. The audio was great to review and the book format was easy to read and concise. I felt almost every question I knew what they were asking and I was able to eliminate one or two questions. Don't waste your money with other sites. Solomon will allow you to pass on the first time. Good luck!

Matthew D., Orange County, CA

I had tried another learning system before Solomon and walked into the Series 24 unprepared and subsequently failed. After using the Solomon system for three weeks, taking full advantage of the app on my cell phone I walked into my second attempt very prepared for the type of questions I was going to see. Not only did I pass, I did so with confidence. Thanks so much Solomon!

Steven Eisner, Penn Mutual/HTK, Hauppauge, NY

Finally! Having used the study material provided by my firm, I couldn't get over the passing level. Came out of pocket for Solomon, and passed [the Series 24] on the first effort - Thank you!

Scott Krogmann, Regions Bank, Knoxville, TN

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY