Series 24: 2.1. Member Supervisory Procedures And Controls

Taken from our Series 24 Online Guide

2.1. Member Supervisory Procedures and Controls

If an associated person commits a violation, the SEC and FINRA can take action against that person’s firm or supervisor, if there was a failure to properly supervise the violator. Firms and supervisors can protect themselves by creating and enforcing a supervisory

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Recently passed the Series 24 Exam. I owe it to the Solomon Exam Prep series. The format of study and testing preparation was easy to follow and comprehend. I had taken the exam before and used study material through a different provider. It did not give me the sense of readiness in the "connection of the dots" and time-management like the Solomon series did. Such a relief to see the word PASS.

Hope Brackin, Cambridge Investment Research, Inc., Auburn, AL

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Seth Schader, CCO, Mercer Island, WA

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Danny Klingler, Kestra Financial, Austin, Texas

I recently passed my Series 24 using Solomon Exam Prep! It was the hardest exam I've taken to date. I found all the practice exams with specific feedback to be the most helpful, though the audiobook was very helpful as well.

Diane Pouliot, RBC, Minneapolis, MN

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Scott Krogmann, Regions Bank, Knoxville, TN