Broker Preparatory Course Series 24 USA American Broker Examination Securities (FINRA)


The Series 24 exam (The General Securities Principal Qualification Exam)

Thorsten Schuell will provide the means for you to undertake the Series 24 exam. The exam is designed to assess the competency of an individual to work as a principal. Which is dependent on their corequisite registrations, a candidate must pass the Securities Industry Essentials (SIE) Exam and a representative-level qualification exam, or the Supervisory Analysts Exam (Series 16) exam to hold an appropriate principal registration. An entry-level principal taking the exam will need to illustrate the knowledge needed to perform the critical functions of a general securities principal. The exam consists of 150 marked multiple choice questions, candidates will have a total time limit of 3 hours and 45 minutes to complete this National Futures Association exam. In order to pass, candidates taking the exam will have to achieve a score of 70% or above.


The Series 24 content is comprised of the five major job functions of a general securities principal these are:

  • Supervision of registration of broker-dealer and personnel management activities
  • Supervision of general broker-dealer activities
  • Supervision of retail and institutional customer-related activities
  • Supervision of trading and market making activities
  • Supervision of investment banking and research

The covered supervisory activities include regulatory compliance over:

  • Advertising
  • Market making
  • Trading
  • Underwriting


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