Series 24: 2.2.2.3. Restrictions On The Sharing Of Accounts With Customers

Taken from our Series 24 Online Guide

2.2.2.3. Restrictions on the Sharing of Accounts with Customers

FINRA also prohibits member firms and associated persons from sharing directly or indirectly in the profits or losses in any customer account unless the following conditions apply: (1) the associated person obtains prior written consent from both the member firm a

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: 2.2.2.3. Restrictions On The Sharing Of Accounts With Customers, you might also be interested in:

Series 28 - Networking Arrangement Guidelines

Series 79 - Price-to-Book Ratio

Series 26 - Form BD (“BD” = Broker-Dealer)

Series 7 - 3.3.1.1 Key Players

Series 66 - Exercise

Series 50 - Exception for Reserve Fund

Series 7 - 13.3.3 Written Supervisory Procedures

Series 26 - Maintaining Customer Accounts

Series 66 - Basic Charts and Patterns

Series 82 - Communications Rules for a Public Underwriting

Series 6 - 2.1.1.1. Broker-Dealer Suitability Rules

Series 7 - 17.5.3.1.2. Cashiering Department

Series 50 - Forming the Syndicate

Series 24 - 5.8.2. Close-Outs of Uncompleted OTC Trades

Series 7 - 11.3.7. Holding Customer Mail

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I studied for the Series 24 for two and a half months. I thank God for his grace passed on the first attempt. The exam simulator is superb, it's projection of readiness to sit for an exam is spot on. All the feedback I received on how difficult the test was proved to be very helpful. As a result I over studied and followed the recommended study plan step by step which was key. Thanks again Jeremy and team, Solomon exam prep is the best ;)

Nikita Brown, BMI. Atlanta, GA

I had tried another learning system before Solomon and walked into the Series 24 unprepared and subsequently failed. After using the Solomon system for three weeks, taking full advantage of the app on my cell phone I walked into my second attempt very prepared for the type of questions I was going to see. Not only did I pass, I did so with confidence. Thanks so much Solomon!

Steven Eisner, Penn Mutual/HTK, Hauppauge, NY

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!

Janie Richards, Austin, Texas

Finally! Having used the study material provided by my firm, I couldn't get over the passing level. Came out of pocket for Solomon, and passed [the Series 24] on the first effort - Thank you!

Scott Krogmann, Regions Bank, Knoxville, TN

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY

I took another vendors 24 course but it did not compare to how Solomon Exam Prep for Series 24 prepared me. The material and practice exams, especially the timed exams, were broken up by sections, similar to the FINRA Exam. This really helped in allowing me to understand which section(s) I needed to spend more time on/hit harder. Thank you Solomon!!!

Jim Ruckman, Mass Mutual