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Series 24 - General Securities Principal

The Series 24 Exam is a principal-level FINRA exam that qualifies individuals to manage/supervise investment banking or general securities activity, including corporate and government securities, direct participation programs, investment companies, and variable contracts. While this does NOT qualify individuals to supervise municipal or options activity, it does fulfill the qualification requirement for OSJ (office of supervisory jurisdiction) compliance officers.

Exam

Exam Details

Exam Format: 150 multiple-choice questions

Exam Duration: 3 hours, 45 minutes (225 minutes)

Passing Score: 70%

Prerequisite: SIE + Series 7

Broker-dealer Sponsorship: required

Exam Outline

FUNCTION DESCRIPTION Percentage of Exam No. Questions
Function 1: Supervision of Registration of Broker-Dealer and Personnel Management Activities 6% 9
Function 2: Supervision of General Broker-Dealer Activities 31% 45
Function 3: Supervision of Retail and Institutional Customer-Related Activities 21% 32
Function 4: Supervision of Trading and Market Making Activities 21% 32
Function 5: Supervision of Investment Banking and Research 21% 32
TOTAL 100% 150

Test Center

Prometric is the sole vendor delivering all FINRA-administered exams. Prometric facilities are located in most cities. To schedule an exam, contact Prometric at:

If your local test center does not have favorable availability, consider testing in a neighboring city. Ask about parking when you schedule your exam. Candidates must present valid, current, government-issued photo identification. This includes:

Student IDs are NOT accepted by Prometric.

COVID-19 Considerations: Due to COVID-19 health concerns, all Prometric test centers require face coverings, and that all testers are free from COVID infection and/or exposure during the previous 14 days. See https://www.prometric.com/covid-19-update/test-center-policies for the latest COVID updates.

In addition, many exams allow Remote Proctoring - see https://www.prometric.com/test-takers/search/1finra for more info.

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