Mastering Series 24: General Securities Principal Exam Prep (Paperback) (ISBN-13: 9798857460375)

Mastering Series 24: General Securities Principal Exam Prep

Table of Contents

Chapter 1: Introduction to the Series 24 Exam.. 1
Chapter 2: Securities Industry Regulation. 6
Chapter 3: Supervision and Compliance. 11
Chapter 4: Registered Representative Supervision. 16
Chapter 5: Trading and Market Making Activities. 21
Chapter 6: Investment Banking and Corporate Financing. 26
Chapter 7: Customer Accounts and Suitability. 31
Chapter 8: Investment Company and Variable Contracts Products 36
Chapter 9: Direct Participation Programs (DPPs) and Real Estate Investment Trusts (REITs) 41
Chapter 10: Employee Benefits and Retirement Plans. 46
Chapter 11: Securities and Account Protection. 51
Chapter 12: Margin and Options Trading. 56
Chapter 13: Regulatory Requirements and Continuing Education 61
Chapter 14: Customer Complaints, Arbitration, and Dispute Resolution 66
Chapter 15: Supervisory Procedures and Responsibilities. 71


Author: Innoware Pjp
ISBN-10: 8857460371
ISBN-13: 9798857460375
Publisher: Independently Published
Language: English
Published: 08/14/2023
Pages: 82
Format: Paperback
Weight: 0.27lbs
Size: 9.00h x 6.00w x 0.17d