Series 24: 2.1.4.2. Chief Executive Officer And Compliance Certification

Taken from our Series 24 Online Guide

2.1.4.2. Chief Executive Officer and Compliance Certification

FINRA requires the chief executive officer (CEO) to certify each year that the member firm has written and implemented a set of compliance policies and supervisory procedures. The CEO must certify that these policies and procedures are consistent with FINRA rules and federal securities laws and can be modified when they are not. Finally, the CEO must attest to having conducted at least one meeting with th

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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!

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