Series 24 Question Bank

Pass the FINRA Series 24 Principal Exam With 1,080 Firm-Wide Supervisor Questions + Two 150-Question Exams

Prep for the FINRA Series 24 - General Securities Principal Qualification Exam with 1,080 exam-style questions across 21 chapters, 3 mini exams, and 2 full-length 150-question practice exams. Self-paced online practice focused on registration and personnel management, general broker-dealer operations, customer-related activities, trading and market-making supervision, and investment banking and research.

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Instant digital access • Mobile + desktop friendly • Progress tracking • Built for exam-style testing

What you get with the Series 24 Question Bank

  • 1,080 exam-style practice questions across the full Series 24 outline
  • 21 chapters mapped to FINRA's five Series 24 functions - registration & personnel management, general broker-dealer operations, customer-related activities, trading & market making, and investment banking & research
  • 63 chapter quizzes - Learn (10 Qs), Apply (10 Qs), and Master (10 Qs) for every chapter
  • 3 Mini Exams (50 questions each) for timed practice
  • 2 full-length Practice Exams (150 questions each) matching the real Series 24 exam length exactly
  • Heavy coverage of registration & personnel (U4/U5/U6, CE), net capital & financial responsibility, books & records, AML program supervision, Rule 2210 communications, customer account oversight, trading & market-making supervision, and underwriting/research
  • Progress tracking by chapter and difficulty to target weak areas fast
  • Clear explanations focused on what FINRA actually tests
  • Built specifically for the general securities principal role - the firm-wide supervisor of broker-dealer operations, not repurposed representative content
  • 6-month online access from purchase date

What you'll study

Organized around FINRA's five Series 24 functions - general broker-dealer activities is the largest section at 45 questions, followed by customer-related activities, trading & market making, and investment banking & research at 32 each, with registration & personnel management at 9. The 21 chapters in the question bank map directly to these five areas.

Function 1 - Supervision of Registration of Broker-Dealer and Personnel Management Activities (9 questions)

Supervision of Registration of Broker-Dealer and Personnel Management Activities

  • Hiring, onboarding, background checks, and fingerprinting requirements
  • Registration filings - Form U4, U5, and U6 disclosures and amendments
  • Maintaining registration records and statutory disqualification reviews
  • Continuing education - Regulatory Element and Firm Element
  • Qualification examinations and permissive registration
  • Supervisory structure, designation of principals, and Rule 3110 supervisory system

Function 2 - Supervision of General Broker-Dealer Activities (45 questions)

Supervision of General Broker-Dealer Activities

  • Net capital, financial responsibility, and customer protection (Rules 15c3-1 and 15c3-3)
  • Books and records requirements and retention (SEA Rules 17a-3 and 17a-4)
  • Business continuity planning and operational supervision
  • Anti-money laundering (AML) program supervision and SAR/CTR obligations
  • Advertising and communications with the public - Rule 2210 review and principal approval
  • FOCUS reporting, custody, and FINRA membership/continuance obligations

Function 3 - Supervision of Retail and Institutional Customer-related Activities (32 questions)

Supervision of Retail and Institutional Customer-related Activities

  • New account opening, registration types, and customer identification (CIP)
  • KYC, suitability, and Regulation Best Interest (Reg BI) oversight
  • Handling and resolution of customer complaints
  • Account transfers (ACATS), updates, and re-approval of customer information
  • Distinguishing retail vs. institutional account supervision
  • Senior investor protection and trusted contact persons

Function 4 - Supervision of Trading and Market Making Activities (32 questions)

Supervision of Trading and Market Making Activities

  • Trading rules, order handling, and prohibited practices (manipulation, front-running)
  • Short sales and Regulation SHO compliance
  • Best execution obligations and payment for order flow
  • Trade reporting (TRF/ORF/TRACE) and CAT requirements
  • Market-making supervision, quotations, and firm-quote obligations
  • Net capital and risk considerations for proprietary trading

Function 5 - Supervision of Investment Banking and Research (32 questions)

Supervision of Investment Banking and Research

  • Underwriting commitments, due diligence, and offering documents
  • Syndicate operations, underwriting agreements, and selling concessions
  • Regulation M and activities during a distribution
  • New issue and IPO allocation rules (Rules 5130 and 5131)
  • Research analyst rules, disclosures, and conflict-of-interest management
  • Information barriers between banking and research/trading

GET INSTANT ACCESS

Series 24 Question Bank

$99.99

  • Includes: 1,080-question bank + 3 mini exams + 2 full-length 150-question practice exams + chapter quizzes
  • Access: 6 month access to the question bank
  • Start practicing immediately after purchase - no waiting.
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Frequently asked questions

  • You'll have access for 6 months starting immediately after purchase.

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