Series 24

FINRA General Principal Qualification Examination

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Track	Title	Length
1	Note from Publisher	0:56
2	Copyright	0:21
3	Introduction	9:25
4	Chapter One - 1.2.2.2. FINRA Membership	18:49
5	1.2.2.3. Becoming A Member Investment Advisers - 1.2.3.2.2. Limited Principles	16:05
6	1.2.3.3. Representatives - 1.2.4.5. Business Continuity Plans	14:00
7	1.2.5. Conditions Of Individual Registration - 1.2.7. Sanctions Against Broker-Dealers	15:44
8	Chapter Two - 2.1.5.4. Investigation Of Registered Personnel	16:34
9	2.1.6. Member Supervisory Controls - 2.2.1.4.1. Bank Secrecy Act	16:02
10	2.2.1.4.2. Office Of Foreign Assets Control - 2.2.1.6. Soft Dollar Arrangements	16:40
11	2.2.2. Managing Conduct With The Public - 2.2.3. Reporting Behavior Violations	17:44
12	2.3. Managing Compensation Practices - 2.4.1.1.1. Form CRS	22:44
13	2.4.2. Risk Assessment Of Securities Products - 2.5.3.3. Minor Rule Violations	18:00
14	2.5.3.4. Formal Hearings - 2.5.4.3. Arbitration Process	16:53
15	2.5.4.3.1. Simplified Arbitration - 2.6.5. Three Year Records	10:28
16	2.6.6. Preservation Of Other Records - 2.7.1.3. Non-Allowable Assets	18:02
17	2.7.1.3.1. Tentative Net Capital - 2.7.1.5.1. Notification Of Net Capital Shortfall	19:00
18	2.7.1.6. Debt To Equity Requirements - 2.7.3.3. Treatment Of Free Credit Balances	14:21
19	2.7.4. Broker-Dealer Reporting Rule - 2.7.9. Securities Investor Protection Act	18:23
20	2.7.9.1. SIPC Rules - 2.7.10.4. Allocation Procedure	9:52
21	Chapter Three - 3.2.1.3. Multiple Individual Accounts	16:44
22	3.2.2. Joint Accounts - 3.4.1.1. Periodic Confirmations	18:14
23	3.4.2. Account Transfers - 3.7.1.4. Disclosure Document	19:35
24	3.7.2. Long Positions In Margin Accounts - 3.7.2.6. First Trade In A Long Margin Account	13:56
25	3.7.3. Short Positions In Margin Accounts - 3.7.6. Margin Requirements For Credit Default Swaps	17:50
26	3.7.7. Marginable Securities - 3.7.11.3. Buying Power Of Day Trading Accounts	18:01
27	3.8. Packaged Securities Investment Company Accounts - 3.8.1.6. Prohibited Mutual Fund Practices	21:17
28	3.8.2. Management Companies Closed-End Funds - 3.8.5.7. Selling Dividends	21:35
29	3.8.5.8. Fund Name Rule - 3.8.7.2.2.1. Accumulation Units Subaccounts	18:25
30	3.8.7.2.2.2. Annuity Units And Periodic Payments - 3.9.3.2. SIMPLE Plans	21:49
31	3.9.4. Non-Qualified Retirement Plans - 3.10.6.1. Coverdell Education Savings Account	17:34
32	3.10.6.2. Qualified Tuition Plans - 3.11.3.2. Financial Performance Disclosures	17:47
33	3.11.4. Supplemental Sales Literature - 3.11.6.3.5. Investment Analysis Tools	17:47
34	3.11.7. Communications That Do Not Need To Be Filed With FINRA - 3.11.12. Communications Regarding Variable	16:41
35	3.11.13. Telemarketing - 3.12.2. Improper Use Of Discretionary Accounts	5:36
36	Chapter Four - 4.1.2.4. Bond Offerings	19:45
37	4.1.3. Types Of Issuer Organizations - 4.1.4.2. Underwriting Agreement	18:28
38	4.1.4.3. Selected Dealers Agreement - 4.1.5.4.1. Pre-Filing Period	17:54
39	4.1.5.4.2. Cooling-Off Period - 4.1.7. Underwriting Compensation	19:21
40	4.1.7.1. Unsold Shares Of A Public Offering - 4.1.10. Communications Guidelines Cooling Off Period	14:39
41	4.1.10.1. Research Reports - 4.1.12.6. Denial Suspension Revocation Of Registration	15:11
42	4.2. IPO Distribution Rules And Restricted Practices - 4.2.5.3. Selling Securities Before The Security Opens For Trading	18:36
43	4.2.6. Regulation M And Market Manipulation - 4.2.7. Lock Up Agreements	16:01
44	4.2.8. Issuer Reports - 4.2.8.9. Insider Beneficial Ownership Reports	17:03
45	4.2.9. Exemptions From The Registration Process - 4.2.9.5. Exemptions For Offshore Transactions	15:18
46	4.2.10. Rule 144 Resales Of Restricted And Control Securities - 4.3.1.3. Regulation MA Rule 165	16:33
47	4.3.2. Tender Offers - 4.4.1. Issuer Buy Back Rules	17:29
48	4.5. Asset Backed Securities - 4.5.3. Regulation AB II	12:44
49	4.6. Research Analysts And Research Reports - 4.6.9. Retaliation Against Research Analysts Prohibited	16:14
50	Chapter Five - 5.2.1. Auction Markets	12:23
51	5.2.2. Negotiated Markets - 5.4.1. Market Makers	16:34
52	5.5. Auction Markets - 5.5.2.2.1.3.1. Stop Limit Orders	14:02
53	5.5.2.2.2. Types Of Time Orders - 5.6.2.2. Market Maker Withdrawals	19:08
54	5.6.2.3. Market Participant Identifiers - 5.6.5.4. Non-Directed Directed Preferences Orders	18:22
55	5.6.6. Executing Orders At The Nasdaq Market Center - 5.7.1.3. Risk Management Function	14:58
56	5.7.1.3.1. Reporting ToThe National Securities Clearing Corporation - 5.8.2. Clearance Settlement	16:22
57	5.8.2.1. Clearing Trade Comparison And Confirmations - 5.8.3.9. Rejections And Reclamations	18:24
58	5.8.3.10. Rights And Warrants - 5.8.6.1. Determining A Dividend Distribution	15:02
59	5.8.6.1.1. Different Types Of Settlement Dates - 5.9.2.5. Adjustment Of Open Orders	15:23
60	5.10. SEC Display And Disclosure Rules Regulation NMS - 5.12. Regulation M Rule 105	18:20
61	5.13. SEC Rules To Prevent Market Manipulation - 5.14.8. Third Party Trades	15:02
62	5.15. Trading Halts - 5.16.2. Additional Notes About Markups	18:14

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I was very apprehensive about the Series 24 exam prior to taking it. Everyone I knew who had taken it informed me that it was an incredibly difficult test, with questions that were meant to trick you. After following Solomon's six week study outline and making flashcards for my weakest areas, I was averaging in the high 80s on the Solomon practice exams. That gave me the confidence I needed to walk into the test center feeling prepared, and the knowledge I needed to walk out of the test center having scored an 88. I am now recommending the Solomon Series 24 materials to everyone at the office!

Janie Richards, Austin, TX

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