Series 24 for Compliance Professionals
- April 1, 2025
- Posted by: 'FINRA Exam Mastery'
- Category: Finance
🛡️ Series 24 for Compliance Professionals
Why This License Matters and How It Supports Supervisory Roles
The Series 24 exam is essential for anyone looking to supervise registered representatives, approve advertising, and oversee compliance functions within a FINRA-member firm. For compliance professionals, this license represents both a regulatory requirement and a gateway to advanced leadership in securities supervision.
🎯 What Is the Series 24?
The Series 24—General Securities Principal Exam—qualifies individuals to manage and supervise activities involving:
- Corporate securities (stocks and bonds)
- Investment banking and underwriting
- Trading and market making
- Advertising and communications
- Regulatory filings and internal investigations
👥 Why It’s Critical for Compliance Professionals
📋 Regulatory Oversight
Series 24 holders ensure firm-wide adherence to FINRA, SEC, and MSRB regulations. They are responsible for reviewing Form U4/U5 filings, trade blotters, customer complaints, and branch inspections.
🧠 Policy Enforcement
Compliance professionals with Series 24 can design, implement, and enforce internal policies that align with federal and state laws.
✅ Approval Authority
Only registered principals can approve retail communications, new account openings, and specific product recommendations.
📊 Risk Mitigation
With Series 24 training, compliance officers gain the tools to identify red flags, conduct internal audits, and respond to regulatory inquiries with confidence.
🧾 Prerequisite
To sit for the Series 24, candidates must first pass the Securities Industry Essentials (SIE) and Series 7 exams.
🧠 What the Exam Covers
| Key Areas of Focus | Weight |
|---|---|
| Supervision of Investment Banking and Underwriting | 17% |
| Supervision of Trading and Market Making | 17% |
| Supervision of Customer Account Activity | 31% |
| Supervision of Advertising, Sales Practices & Conduct | 23% |
| Supervision of Back Office Functions | 12% |
🚀 Ready to Advance Your Compliance Career?
Get the tools to pass the Series 24 and elevate your impact in compliance oversight, firm supervision, and regulatory response.
👉 https://finra-exam-mastery.com
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