Wiley Series 24 Exam Review 2016 + Test Bank: The General Securities Principal Examination

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The go-to guide to acing the Series 24 Exam! Passing the General Securities Principal Qualification Examination (Series 24) qualifies an individual to act as a principal of a general securities broker-dealer and to supervise the firm and its agents. The exam covers the supervision of such areas as investment banking, underwriting, and research practices; trading and market-making; brokerage office operations; and sales practices and agents, as well as compliance with financial responsibility rules. Candidates must have ...

Wiley Series 24 Exam Review 2016 + Test Bank: The General Securities Principal Examination 2015, Wiley, New York

ISBN-13: 9781119112082

4th edition

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