Series 24: Filing Requirements

Taken from our Series 24 Online Guide

Filing Requirements

The Securities Exchange Act requires firms to file two copies of any subordinated loan agreement with the SEC at least 10 days before the date of the loan.

FINRA requires firms to file regular subordinated agreements at least 30 days prior to the date of the loan, but allows temporary agreements to be filed only 10 days prior to the effective date.

+ Read More

More Series 24 Info

What are people saying?

Create an Account

Since you're reading about Series 24: Filing Requirements, you might also be interested in:

Series 7 - Exercise

Series 7 - 18.4.1.5 Appeals

Series 24 - 4.5.2.3. Reporting Requirements

Series 65 - Chapter Four

Series 65 - 8.7.3 Registration of Investment Advisers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just took the Series 24 and passed with an 80%. I couldn't have done it without the Solomon test simulator.

Joseph Shapiro, Edward Jones Investments, St. Louis, MO

Taking the Series 24 class with Karen Solomon this week helped reinforce the data that I learned, and I passed my exam! The material was thorough and the exam simulator was an excellent tool to test your knowledge. Thank you Karen!

Karen Lessard, Concorde Investment Service Frisco, TX

I stuck to the outline day by day and it really helped me with sticking to a routine and curriculum. I passed the Series 24 on my 1st try! Would definitely recommend this to anyone in the Securities Industry.

Rima Mehta, PNC Investments, Charlotte, NC

I passed my Series 24 today with an 80% thanks to Solomon Test Prep! I found the most benefit from using the practice exams as a learning tool, reading each answer explanation as I went along, regardless of a(n) correct/incorrect response. I found that for this exam, understanding the concepts is equally as important as memorization! Good luck!

Audrey M., Austin, TX

Recently passed the Series 24 Exam. I owe it to the Solomon Exam Prep series. The format of study and testing preparation was easy to follow and comprehend. I had taken the exam before and used study material through a different provider. It did not give me the sense of readiness in the "connection of the dots" and time-management like the Solomon series did. Such a relief to see the word PASS.

Hope Brackin, Cambridge Investment Research, Inc., Auburn, AL

Excited to say I passed the Series 24 the first time I sat for the exam. The course material and exam simulator were paramount in my preparation.

Ben Young, Berthel Fisher. Cedar Rapids, IA