Series 24: Member Supervisory Controls

Taken from our Series 24 Online Guide

Member Supervisory Controls

It is not enough to establish and document a supervisory system that dictates procedures to monitor a firm’s compliance with regulatory rules and regulations. The procedures must also be enforced. To ensure that a supervisory system is functioning as required and that written procedures are being scrupulously obeyed, FINRA requires that each member firm set in place a system of written supervisor

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TESTIMONIALS

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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 would just like to say that Solomon’s customer service was excellent. The material was clear and easy to understand and I feel that it prepared me extremely well for my exam. I found the study outline to be the most helpful in keeping me on track. I would definitely refer the material to anyone taking the Series 24. Thank you to the Solomon team for helping me pass my 24!

Tamaqua Roland, Philadelphia, PA

I recently passed my Series 24 using Solomon Exam Prep! It was the hardest exam I've taken to date. I found all the practice exams with specific feedback to be the most helpful, though the audiobook was very helpful as well.

Diane Pouliot, RBC, Minneapolis, MN

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Jessie Urban, Securities America Inc, LaVista, NE

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Scott Krogmann, Regions Bank, Knoxville, TN

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William Bundy, Bundy Group. Charlotte, NC