Series 24: Member Supervisory Responsibilities And Procedures

Taken from our Series 24 Online Guide

Member Supervisory Responsibilities and Procedures

By Section 15(b)(4) of the Exchange Act, the SEC may take punitive action against any broker-dealer that has willfully violated, enabled the violation or failed to supervise a violator of applicable securities law and regulations under his employ. The Act goes on to say, however, that no supervisor will have failed in his dutie

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Recently passed the Series 24 Exam. I owe it to the Solomon Exam Prep series. The format of study and testing preparation was easy to follow and comprehend. I had taken the exam before and used study material through a different provider. It did not give me the sense of readiness in the "connection of the dots" and time-management like the Solomon series did. Such a relief to see the word PASS.

Hope Brackin, Cambridge Investment Research, Inc., Auburn, AL

I was very apprehensive about the Series 24 exam prior to taking it. Everyone I knew who had taken it informed me that it was an incredibly difficult test, with questions that were meant to trick you. After following Solomon's six week study outline and making flashcards for my weakest areas, I was averaging in the high 80s on the Solomon practice exams. That gave me the confidence I needed to walk into the test center feeling prepared, and the knowledge I needed to walk out of the test center having scored an 88. I am now recommending the Solomon Series 24 materials to everyone at the office!

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