Series 24 Rulebook Summary – Downloadable Chart
- April 1, 2025
- Posted by: 'FINRA Exam Mastery'
- Category: Finance
🧾 Series 24 Rulebook Summary – Downloadable Chart
📘 Quick-Reference Breakdown of FINRA Rules for the Series 24 Exam
The Series 24 exam—also known as the General Securities Principal Qualification Exam—requires mastery of FINRA rules across a broad range of supervisory functions. Below is a summarized Series 24 Rulebook Chart designed for quick reference and final review. You can use this to reinforce your rule memory and stay focused on what matters most.
📊 Series 24 Rule Summary Table
| FINRA Rule | Topic | Key Points for Exam |
|---|---|---|
| Rule 2210 | Communications with the Public | Retail/Institutional/Correspondence; Principal review; Filing requirements |
| Rule 3110 | Supervision | Written Supervisory Procedures (WSPs); Designation of supervisors |
| Rule 3120 | Supervisory Controls | Annual report to senior management; testing and verification |
| Rule 3130 | CEO Certification | Annual certification of supervisory policies and procedures |
| Rule 3270 | Outside Business Activities (OBAs) | Must notify the firm in writing; firm reviews for conflicts |
| Rule 3280 | Private Securities Transactions | Prior written notice; approval/disapproval; recordkeeping |
| Rule 4512 | Customer Account Information | Know your customer (KYC); trusted contact person |
| Rule 2090 | Know Your Customer (KYC) | Must understand customer’s financial profile and investment objectives |
| Rule 4530 | Reporting Requirements | Report disciplinary actions, customer complaints, violations |
| Rule 3310 | Anti-Money Laundering (AML) | Annual testing; suspicious activity reporting (SAR) |
| Rule 8210 | Requests for Information | Must comply with FINRA inquiries and document production |
| Rule 2040 | Payment to Unregistered Persons | May not pay transaction-based compensation to unregistered individuals |
| Rule 3240 | Borrowing/Lending with Customers | Allowed only under firm policy and specified relationships |
| Regulation SP | Privacy of Consumer Financial Info | Initial/annual privacy notices; opt-out provisions |
| Rule 4511 | Recordkeeping | Maintain accurate books and records; retention requirements |
🧠 Exam Focus Areas:
- Supervision & Control: Know the difference between Rules 3110, 3120, and 3130.
- Communications: Rule 2210 distinctions between retail, correspondence, and institutional.
- Reporting Obligations: Rule 4530 scenarios.
- Conflicts of Interest: OBAs (3270) vs. private transactions (3280).
- AML Compliance: Rule 3310 basics and red flag examples.
- Customer Interactions: KYC, suitability, trusted contacts (2090, 4512).
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