A member of the syndicate making a stabilizing bid can make it:

At a price no greater than the lower of the public offering price or the highest independent bid

At no price because syndicate members are not allowed to make stabilizing bids

At a price up to 10% higher than the public offering price

At any price deemed reasonable and necessary to support the public offering price

Under FINRA rules, an associated person would be considered a research analyst if he or she:

Reports directly to a research analyst in connection with preparation of the substance of a research report

Reports indirectly to a research analyst in connection with preparation of the substance of a research report

Is primarily responsible for preparation of the substance of a research report

When notice that a customer has died is received by the brokerage firm, the firm should:

close the account and sell all securities

execute all outstanding orders immediately

take no action until an executor of the estate is appointed

When a customer opens a cash account and registers the stock in street name, which of the following statements is true:

customer can reregister the stock in his name at any time

firm can use the stock as collateral

Which of the following is not a qualified retirement plan covered by ERISA:

pension and profit-sharing plan

Distributions at retirement from a HR-10 (Keogh) plan are taxed:

50% capital gains and 50% ordinary income

70% capital gains and 30% ordinary income

Which of the following claims cannot be brought to FINRA arbitration?

Claim as part of a class action

Claim regarding execution of an OTC trade

Claim involving misrepresentation of a municipal bond

Claim as part of a class action

Participation in the FINRA "Trade Reporting and Comparison Service" (TRACS) is mandatory for which of the following entities:

all broker-dealers who are FINRA members

broker-dealers who are also registered investment advisers

Series 24 Sample Quiz

FINRA General Securities Principal Exam

Number of Questions	10
Time Duration	Untimed
Answer Feedback Instant validation and rationale
Percentage required to pass	70%

Start Test

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SERIES 24 VIDEO LECTURE

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SERIES 24 AUDIOBOOK

If you like to listen, the Solomon Series 24 Audiobook offers you the perfect way to study for your exam while you’re commuting, working out or doing the dishes! The Solomon Series 24 Audiobook is a 16-hour audio recording of the Solomon Series 24 Study Guide. The guide is written in clear easy-to-understand language and contains the information you need to know to pass your exam.

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The Solomon Series 24 Audiobook is a verbatim reading of “The Solomon Exam Prep Guide to the Series 24--3rd Edition.”

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