How to Study for the Series 24

1. Start with the FINRA outline

   • FINRA Series 24 Content Outline ↗
   • FINRA exam details ↗

2. About the Series 24 exam

   • All Series 24 practice exam details

3. Work through each section

   6%30%21.3%21.3%21.3%

   1. Function 1. Supervision of Registration of the Broker-Dealer and Personnel Management Activities6%
   2. Function 2. Supervision of General Broker-Dealer Activities30%
   3. Function 3. Supervision of Retail and Institutional Customer-Related Activities21.3%
   4. Function 4. Supervision of Trading and Market Making Activities21.3%
   5. Function 5. Supervision of Investment Banking and Research21.3%

   • Function 1. Supervision of Registration of the Broker-Dealer and Personnel Management Activities6%

     • 1.1 Broker-dealer and office registration
     • 1.2 Hiring, registration, and personnel management
   • Function 2. Supervision of General Broker-Dealer Activities30%

     • 2.1 Written supervisory procedures and controls
     • 2.2 Supervising associated-person conduct
     • 2.3 Compensation practices
     • 2.4 Product and service oversight
     • 2.5 Discipline and dispute handling
     • 2.6 Books and records
     • 2.7 Financial responsibility and cash management
   • Function 3. Supervision of Retail and Institutional Customer-Related Activities21.3%

     • 3.1 Account opening and maintenance
     • 3.2 Communications with the public
     • 3.3 Transactions, recommendations, and disclosures
   • Function 4. Supervision of Trading and Market Making Activities21.3%

     • 4.1 Order entry, routing, and execution
     • 4.2 Trade booking and settlement
     • 4.3 Trade reporting compliance
   • Function 5. Supervision of Investment Banking and Research21.3%

     • 5.1 Investment banking policies and activities
     • 5.2 Offering and marketing materials
     • 5.3 Research supervision

4. Practice by topic

   • AML Supervision
   • Books and Records
   • Complaints and Disputes
   • Cybersecurity
   • Investment Banking
   • Net Capital
   • Public Communications
   • Registration and Continuing Education
   • Sales Practice Supervision
   • Trading Supervision
   • Written Supervisory Procedures

5. Mix topics in one practice set

   • Series 24 practice questions with answers

6. Compare the Series 24 with other exams

   • Series 7 vs Series 24

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