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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I studied for the Series 24 for two and a half months. I thank God for his grace passed on the first attempt. The exam simulator is superb, it's projection of readiness to sit for an exam is spot on. All the feedback I received on how difficult the test was proved to be very helpful. As a result I over studied and followed the recommended study plan step by step which was key. Thanks again Jeremy and team, Solomon exam prep is the best ;)

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