Series 24: 2.5.2. Sanctions

Taken from our Series 24 Online Guide

2.5.2. Sanctions

FINRA may impose the following sanctions on a member firm or associated person for any violation of federal securities laws, rules, or regulations, or FINRA rules, or for any neglect or refusal to comply with a FINRA order, direction, or decision:

• Censure or fines

• Suspension or expulsion

• Prohibition of associating with other member firms

• Imposition of a te

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: 2.5.2. Sanctions, you might also be interested in:

Series 7 - 5.1.2. Short Call

Series 27 - Settlement Dates

Series 7 - 2.7.2 Yield Spread

Series 24 - 5.8.7.2.2. Due-Bills

Series 26 - Wrap Accounts

Series 65 - 1.4.5.1 Time Value of Money

Series 65 - Ticker Information

Series 66 - Growth vs. Value Management

SIE - Small Issues: Regulation A

SIE - Chapter 9 Practice Question Answers

Series 63 - Practical Application

Series 24 - 4.6.3. Restrictions on Research Analysts

Series 65 - 8.9.1 Definition of Broker-Dealer

Series 24 - 2.2.3. Reporting Behavior Violations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

I took my Series 24 on July 28 and passed!! I had not passed 2 prior Series 24 exams and was down to my last attempt. A fellow principal on my team who had not passed his Series 24 his first time told me about the Solomon practice tests and how they helped him. It was such a big help for me passing exam as the questions were structured more like the real exam than any other practice tests I’ve taken. I have since gone to other employees at my firm for other tests, such as the Series 7, SIE among others and have told them about the Solomon test materials and some of them are now purchasing Solomon as well.

Thadius Beavers, Prospera Financial. Dallas, TX.

Stick to the plan and pass! 4 times in a row, 7, 63, 24 and now 79. You can't beat the Solomon materials.

Eric Altmann

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

I passed the Series 24 on the first try with an 80%! This was the highest of all of my Series exam scores and I attribute much of my success to Solomon's amazing study materials. The practice exams are spot-on and the video lectures were a great supplement to the readings. I suggest following the study schedule Solomon provides for a successful outcome!

Katelyn H, Las Vegas, NV

I took another vendors 24 course but it did not compare to how Solomon Exam Prep for Series 24 prepared me. The material and practice exams, especially the timed exams, were broken up by sections, similar to the FINRA Exam. This really helped in allowing me to understand which section(s) I needed to spend more time on/hit harder. Thank you Solomon!!!

Jim Ruckman, Mass Mutual