Series 24 Audio

Solomon Series 24, 3rd Ed.

FINRA General Principal Qualification Examination

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Track Title Bookmark Length Download
1 Note From Publisher 0:57
2 Copyright 0:22
3 Introduction 9:25
4 Chapter One 18:51
5 Becoming a Member Investment Adviser 16:06
6 Representatives 14:00
7 Conditions of Individual Registration 15:28
8 Chapter Two 16:42
9 Member Supervisory Controls 16:07
10 Office of Foreign Assets Control 18:03
11 Managing Conduct With The Public 17:48
12 Managing Compensation Practices 15:57
13 Risk Assessment of Securities Products 18:01
14 Formal Hearings 16:54
15 Simplified Arbitration 10:29
16 Preservation of Other Records 18:02
17 Tentative Net Capital 19:00
18 Debt to Equity Requirements 14:22
19 Broker Dealer Reporting Rule 18:23
20 SIPC Rules 9:52
21 Chapter Three 16:44
22 Joint Accounts 18:15
23 Account Transfers 18:27
24 Long Positions in Margin Accounts 13:56
25 Short Positions in Margin Accounts 17:50
26 Marginable Securities 18:02
27 Packaged Securities Investment Company Accounts 18:16
28 Management Companies Closed End Funds 11:38
29 Diversification of Funds 16:38
30 Annuities 19:00
31 Non-Qualified Retirement Plans 16:40
32 Qualified Tution Plans 17:30
33 Supplemental Sales Literature 17:58
34 Communications that do not need to be Filed With FINRA 17:33
35 Telemarketing 5:37
36 Chapter Four 17:45
37 Types of Issuer Organizations 19:55
38 Syndicate Agreements 16:32
39 Cooling Off Period 19:03
40 Unsold Shares of a Public Offering 14:41
41 Research Reports 16:01
42 IPO Distribution Rules and Restricted Practices 18:39
43 Regulation M and Market Manipulation 16:05
44 Issuer Reports 17:04
45 Exemptions from the Registration Process 16:11
46 Rule 144 Re-sales of Restricted and Control Securities 16:34
47 Tender Offers 17:28
48 Asset Backed Securities 12:45
49 Research Analysts and Research Reports 15:24
50 Chapter Five 12:24
51 Negotiated Markets 16:38
52 Auction Markets 14:02
53 Types of Time Orders 19:52
54 Market Participant Identifiers 18:23
55 Executing Orders at the Nasdaq Market Center 15:08
56 Reporting to the National Securities Clearing Corporation 15:50
57 Clearing Trade Comparison and Confirmations 18:24
58 Rights and Warrants 15:03
59 Different Types of Settlement Dates 15:27
60 SEC Display and Disclosure Rules Regulation NMS 18:21
61 SEC Rules to Prevent Market Manipulation 15:02
62 Trading Halts 19:22

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