《Wiley Series 24 Exam Review 2013 + Test Bank》是一本圖書，作者是The Securities Institute of America, Inc.
基本介紹
- 外文名：Wiley Series 24 Exam Review 2013 + Test Bank
- 作者：The Securities Institute of America, Inc.
- 出版時間：2013年7月
- 頁數：336 頁
- ISBN：9781118672532
- 定價：408.21 美元
內容簡介
The FINRA General Securities Principal Qualification Examination (Series 24) is designed to test a candidate's knowledge of the rules and statutory provisions applicable to the management of a general securities broker-dealer. It qualifies a principal to supervise and manage a firm and its agents, conducting a general securities business. Each book is accompanied by an online t...(展開全部) The FINRA General Securities Principal Qualification Examination (Series 24) is designed to test a candidate's knowledge of the rules and statutory provisions applicable to the management of a general securities broker-dealer. It qualifies a principal to supervise and manage a firm and its agents, conducting a general securities business. Each book is accompanied by an online test bank with 145 questions, organized by chapter. The questions included in the book have been included in this online test bankTopics Covered: Supervision of Investment Banking, Underwriting & ResearchSupervision of Trading and Market MakingSupervision of Brokerage Office OperationsSales Supervision & General Supervision of EmployeesCompliance with Financial Responsibility RulesTest: 150 questions; three hours and 30 minutes; candidate must answer 70% of questions correctly to pass.Pre-requisites: A general securities principal must have passed the Series 62 or Series 7 exam prior to taking the Series 24 exam. All candidates must be sponsored by a FINRA member firm to take the series 24 exam.
