Mastering Series 24: General Securities Principal Exam Prep Table of Contents Chapter 1: Introduction to the Series 24 Exam.. 1 Chapter 2: Securities Industry Regulation. 6 Chapter 3: Supervision and Compliance. 11 Chapter 4: Registered Representative Supervision. 16 Chapter 5: Trading and Market Making Activities. 21 Chapter 6: Investment Banking and Corporate Financing. 26 Chapter 7: Customer Accounts and Suitability. 31 Chapter 8: Investment Company and Variable Contracts Products 36 Chapter 9: Direct Participation ...
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Mastering Series 24: General Securities Principal Exam Prep Table of Contents Chapter 1: Introduction to the Series 24 Exam.. 1 Chapter 2: Securities Industry Regulation. 6 Chapter 3: Supervision and Compliance. 11 Chapter 4: Registered Representative Supervision. 16 Chapter 5: Trading and Market Making Activities. 21 Chapter 6: Investment Banking and Corporate Financing. 26 Chapter 7: Customer Accounts and Suitability. 31 Chapter 8: Investment Company and Variable Contracts Products 36 Chapter 9: Direct Participation Programs (DPPs) and Real Estate Investment Trusts (REITs) 41 Chapter 10: Employee Benefits and Retirement Plans. 46 Chapter 11: Securities and Account Protection. 51 Chapter 12: Margin and Options Trading. 56 Chapter 13: Regulatory Requirements and Continuing Education 61 Chapter 14: Customer Complaints, Arbitration, and Dispute Resolution 66 Chapter 15: Supervisory Procedures and Responsibilities. 71
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Add this copy of Mastering Series 24: General Securities Principal Exam to cart. $67.00, new condition, Sold by Just one more Chapter rated 4.0 out of 5 stars, ships from Miramar, FL, UNITED STATES, published 2023 by Independently Published.
