Mastering Series 24: General Securities Principal Exam Prep

By Innoware PJP

Mastering Series 24: General Securities Principal Exam Prep

Table of Contents

Chapter 1: Introduction to the Series 24 Exam.. 1
Chapter 2: Securities Industry Regulation. 6
Chapter 3: Supervision and Compliance. 11
Chapter 4: Registered Representative Supervision. 16
Chapter 5: Trading and Market Making Activities. 21
Chapter 6: Investment Banking and Corporate Financing. 26
Chapter 7: Customer Accounts and Suitability. 31
Chapter 8: Investment Company and Variable Contracts Products 36
Chapter 9: Direct Participation Programs (DPPs) and Real Estate Investment Trusts (REITs) 41
Chapter 10: Employee Benefits and Retirement Plans. 46
Chapter 11: Securities and Account Protection. 51
Chapter 12: Margin and Options Trading. 56
Chapter 13: Regulatory Requirements and Continuing Education 61
Chapter 14: Customer Complaints, Arbitration, and Dispute Resolution 66
Chapter 15: Supervisory Procedures and Responsibilities. 71

• Format: Paperback
• Language: English
• ISBN: B0CFCY7GMS
• ISBN13: 9798857460375
• Release Date: August 2023
• Publisher: Independently Published
• Length: 82 Pages
• Weight: 0.27 lbs.
• Dimensions: 0.2" x 6.0" x 9.0"