Series 24: Splitting Orders Or Executions For Personal Gain

Taken from our Series 24 Online Guide

Splitting Orders or Executions for Personal Gain

FINRA prohibits splitting orders into multiple, smaller orders or splitting executions into multiple, smaller executions for the purpose of earning higher commissions or some other form of higher payment. This unlawful act of artificially inflating the number of transactions is known as trade shredding.

FINRA Rule 5290

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I studied for the Series 24 for two and a half months. I thank God for his grace passed on the first attempt. The exam simulator is superb, it's projection of readiness to sit for an exam is spot on. All the feedback I received on how difficult the test was proved to be very helpful. As a result I over studied and followed the recommended study plan step by step which was key. Thanks again Jeremy and team, Solomon exam prep is the best ;)

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Ajay A, CT, Series 24

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Steven Eisner, Penn Mutual/HTK, Hauppauge, NY