Wiley Series 24 Securities Licensing Exam Review 2020 + Test Bank
The General Securities Principal Examination

The go-to guide to acing the Series 24 Exam!

Passing the General Securities Principal Qualification Examination (Series 24) qualifies an individual to act as a principal of a general securities broker-dealer and to supervise the firm and its agents. The exam covers the supervision of such areas as investment banking, underwriting, and research practices; trading and market-making; brokerage office operations; and sales practices and agents, as well as compliance with financial responsibility rules. Candidates must have passed the Series 62 or Series 7 prior to taking the Series 24 Exam.

Created by the experts at The Securities Institute of America, Inc., Wiley Series 24 Exam Review 2020 arms you with everything you need to pass this intensive 150-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides:

• Dozens of examples
• Assorted practice questions for each subject area covered in the exam
• Priceless test-taking tips and strategies
• Helpful hints on how to study for the test, manage stress, and stay focused

About the Series 24 Exam xix

About this Book xxiii

About the Test Bank xxiv

About the Securities Institute of America xxv

Chapter 1 Brokerage Office Procedures 1

Chapter 2 Record Keeping, Financial Requirements, and Reporting 31

Chapter 3 Issuing Corporate Securities 59

Chapter 4 Trading Securities 93

Chapter 5 Recommendations to Customers 169

Chapter 6 General Supervision 197

Chapter 7 Customer Accounts 215

Chapter 8 Margin Accounts 239

Chapter 9 Investment Companies 261

Chapter 10 Variable Annuities and Retirement Plans 297

Chapter 11 Securities Industry Rules and Regulations 327

Answer Keys 377

Appendix 387

Glossary of Exam Terms 421

Index 487

The Securities Institute of America, Inc. has an 18 year track record for excellence in securities exam training. Jeffrey Van Blarcom author from The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year Learn more at : https://securitiesce.com

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