Series 24: Filing Requirements

Taken from our Series 24 Online Guide

Filing Requirements

The Securities Exchange Act requires firms to file two copies of any subordinated loan agreement with the SEC at least 10 days before the date of the loan.

FINRA requires firms to file regular subordinated agreements at least 30 days prior to the date of the loan, but allows temporary agreements to be filed only 10 days prior to the effective date.

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: Filing Requirements, you might also be interested in:

Series 27 - Request for Additional Documents and Information

Series 28 - Close-Out Requirements

Series 79 - Exercise

SIE - FINRA Conduct Rules

Series 65 - Common Stock

Series 7 - 14.2.8 Limited Liability Company Accounts

Series 65 - 5.3.4.2 Sector Rotating

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

I passed the 24 the first time with the help of the Solomon materials. The online course and the exams really helped focus in and clarify what was important. I've recommended them to all of my colleagues!

Corrinne Kaucher

I stuck to the outline day by day and it really helped me with sticking to a routine and curriculum. I passed the Series 24 on my 1st try! Would definitely recommend this to anyone in the Securities Industry.

Rima Mehta, PNC Investments, Charlotte, NC

I really liked the Solomon study materials. They did a really nice job of explaining the material in plain language. I have a really long commute and the audio books came in really handy!! I would recommend the Solomon study materials!

Jessie Urban, Securities America Inc, LaVista, NE