Series 24 Exam Details
The FINRA® Series 24, General Securities Principal Qualification Exam is required of individuals responsible for the management or supervision of a member’s investment banking or securities business. The Series 24 qualifies an individual as a General Securities Principal.
Candidates must pass one of the following exams: Series 7, 17, 37, 38, 57, 62, 79, or 82
150 multiple-choice questions
3 hours, 45 minutes
Outline of Topics Covered
- Supervision of Investment Banking, Underwriting Activities and Research
- Supervision of Trading and Market Making Activities
- Supervision of Brokerage Office Operations
- Sales Supervision and General Supervision of Employees
- Compliance with Financial Responsibility Rules
Best Practices Guide
Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.
For more exam details, including fees and passing score, please visit FINRA.
- You must be at least 18 years of age and have a basic understanding of the industry to attend our live classes.
- Review the enrollment and prerequisite requirements on www.finra.org for the series exam you plan to take. Note, the Securities Industry Essentials (SIE) exam does not require employer sponsorship.
- Enroll in a Kaplan Financial Education securities licensing course four to six weeks before the class date by calling Kaplan Financial Education customer service at 877.656.5550 or enrolling online at www.kaplanfinancial.com/securities.
- Schedule an appointment for the licensing exam with Prometric Testing Centers at www.prometric.com/finra three to four weeks before the class begins. You are able to schedule two or more different exams on the same day. However, you must make a separate appointment for each of the exams.
- For optimum results, plan to do some pre/post-study. Also, plan for homework questions each night and two to three days of review before taking your licensing exam.
- Take your test within five days of completing the class, and go into the exam with confidence!
Attention Colorado Students
Kaplan Financial Education is approved and regulated by the Colorado Department of Higher Education, Private Occupational School Board (DPOS). View the Colorado College Bulletin.
Begin Preparing for the Series 24 Exam
Live and Online Options
Our most comprehensive study package, the Premium Package, has everything you need to effectively prepare for your qualification exam, including guidance from an experienced instructor.
The Essential Self-Study Package gives you the flexibility of studying on your schedule. Planning your exam preparation is made simple with our customizable Study Calendar that schedules daily tasks based on your study time frame and exam date.
The Basic Self-Study Package provides a strong foundation for the self-directed individual who has a proven record of success when studying without the guidance of an instructor. Plan your exam preparation with a customizable Study Calendar based on your schedule and exam date.