Series 24: 2.1. Member Supervisory Procedures And Controls

Taken from our Series 24 Online Guide

2.1. Member Supervisory Procedures and Controls

If an associated person commits a violation, the SEC and FINRA can take action against that person’s firm or supervisor, if there was a failure to properly supervise the violator. Firms and supervisors can protect themselves by creating and enforcing a supervisory

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I used Solomon to sit Series 24 and Series 79, passing with 81% and 88% respectively. Having looked at other material providers, Solomon stands out because of their prompt replies to student questions and the completeness of the answers provided – they are the best out there!

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