Series 24: Due Diligence Defense

Taken from our Series 24 - FINRA General Principal Qualification Examination

Definition of the term Due Diligence Defense...

a legal defense in which a defendant may not be deemed liable for a false registration statement if it can prove it used due diligence in preparing and reviewing the registration statement. The issuer cannot use a due diligence defense, although its directors, officers, and employees can, as can underwriters and their associated persons.

+ Read More

More Series 24 Info

What are people saying?

Create an Account

We have an excellent Audiobook for the Series 24!

Since you're reading about Series 24: Due Diligence Defense, you might also be interested in:

Series 51 - due diligence

Series 51 - ministerial acts

Series 66 - denial

SIE - registered principal

Series 22 - defined contribution plan

Series 63 - National Securities Markets Improvement Act (NSMIA) of 1996

Series 3 - FOCUS reports

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

3rd time is a charm and it took Solomon to do it. None of the other materials in my first two attempts were strong enough to enable me to reason my way to the correct answers. Solomon's angle on this material was closest to the actual test and was the reason I got there.

As an aside, the ongoing personal help was very surprising and commendable. Thank you, Solomon!

Jason Bowen, Southington, CT

I passed the 24 with the help of the audio, book and test questions. I previously took this test and failed walking away with the thought nothing I studied looked familiar. I also didn't really understand how certain areas functioned... but found the information provided with Solomon worked best for me. The flow charts and extra resources section were extremely helpful in breaking down sections of this "Dry" test. The audio was great to review and the book format was easy to read and concise. I felt almost every question I knew what they were asking and I was able to eliminate one or two questions. Don't waste your money with other sites. Solomon will allow you to pass on the first time. Good luck!

Matthew D., Orange County, CA

Even though there is no such thing as a guaranteed success in the securities industry, there is a likelihood of strong returns if you are able to make the right risk / reward choices at the right time.

If you are taking a test one of those choices is Solomon materials. Just follow their guidance. It worked for me, 3 times in a row, 7, 63, 24!

Eric Altmann, New York, NY

I was very impressed with all elements of Solomon's Series 24 offerings. Solomon provided an incredibly organized system for me to utilize, which kept me "on point" and focused. I felt good confidence going into the test because of the structured system that Solomon developed. I would certainly recommend Solomon to anyone that is taking the Series 24.

William Bundy, Bundy Group. Charlotte, NC

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY

Studying for the 24 was not easy. I felt Solomon's course materials and online portal prepared me well for passing the exam in the first try. The study material was NOT overwhelmingly thrown together and I found the study program to be manageable and focused. Got me through the study period of about 4-5 weeks. I would recommend Solomon over the other courses.

Ajay A, CT, Series 24