Series 24: 2.5. FINRA Adjudicatory And Dispute Resolution Rules

Taken from our Series 24 Online Guide

2.5. FINRA Adjudicatory and Dispute Resolution Rules

Conduct rules don’t have a lot of bite, of course, without an enforcement mechanism. The Exchange Act was well aware of that, and Section 15A(b)(7) provides self-regulatory organizations like FINRA with the authority to discipline member firms and associated persons for violations of any applicable laws or regulations, including its own rules.

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After trying numerous study materials, Solomon was the key to pass my Series 24. The live class was a perfect complement. Thank you Karen for your assistance!

Marie, Miami, FL

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.

I wanted to let you know I passed the exam [Series 24] this morning! The practice exams were invaluable. Thank you for your extra help and suggestions. I have recommended this to two of my co-workers who will be taking the Series 7 this year. I will say, the 24 was worded so tricky. And so much irrelevant info put into the questions. I had to write down pieces of the question to get the gist of what it was asking. Very purposfully confusing. But it's over and I'm thankful for your product. Thx again

Karmen Richards, Multi Financial Securities, Greensboro, NC

I passed the S24 today with a score of 80. Your study guide is great!!!

A.T.

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Jessie Urban, Securities America Inc, LaVista, NE

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Kris Nyden, Seattle, WA