Securities Licensing: Series 24 Online
Price: $ 215.00 (USD)
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Course Description
This course is designed for individuals who wish to supervise or manage the general securities activities of NASD member firm. This would entitle the holder to supervise trades involving corporate securities, direct participation programs (DPP’s) and investment company/variable contracts. An individual registered as a general securities principal is not qualified to function as a municipal securities principal, a registered options principal (ROP), a financial and operations principal (FinOp), or a general securities sales supervisor. The course covers: supervision of investment banking activities, market-making activities, brokerage office operations, regulatory framework of NASD, and compliance with financial responsibility rules.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
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In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
Course Outline
LEARNING OBJECTIVES:
· Learn the basic concepts of insurance
· Learn about the Financing Proposals
· Study the types of Underwriting Commitments, and the Underwriters Compensation
· Understand Formation of the Selling Group
· Learn about Securities and Transactions that are exempt
· Understand various rules and regulations
· Understand various aspects of Market Making and Market Makers
· Learn about Trade Reporting
· Understand the NASD Conduct Rules
· Learn about the different types of Customers, Customer Accounts & Documents Required
· Understand the workings of Custodial Accounts
· Learn about various Retirement Plans
· Learn the ERISA concepts
· SEC Definitions, Rules on Fraud and Manipulation
· Understand the Regulatory Framework of the NASD
· Understand the Investment Company Securities
· Learn the Rules of Conduct for Unfair Practices
· Understand the Code of Procedure
· How to Calculate Net Capital
· Understand the Rules and Requirements for Net Capital
· Learn the Rules of Customer Protection
· Learn the Requirements on Financial Reporting
TOPICS COVERED:
· Introduction
· LESSON 1: Supervision of Investment Banking Activities
· LESSON 2: Supervision of Trading and Market Making Activities (I-181)
· LESSON 3: Supervision of Brokerage Office Operations (I-337)
· LESSON 4: Sales and General Supervision; Regulatory Framework of the NASD
· LESSON 5: Compliance with Financial Responsibility Rules (II-201)
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· Learn the basic concepts of insurance
· Learn about the Financing Proposals
· Study the types of Underwriting Commitments, and the Underwriters Compensation
· Understand Formation of the Selling Group
· Learn about Securities and Transactions that are exempt
· Understand various rules and regulations
· Understand various aspects of Market Making and Market Makers
· Learn about Trade Reporting
· Understand the NASD Conduct Rules
· Learn about the different types of Customers, Customer Accounts & Documents Required
· Understand the workings of Custodial Accounts
· Learn about various Retirement Plans
· Learn the ERISA concepts
· SEC Definitions, Rules on Fraud and Manipulation
· Understand the Regulatory Framework of the NASD
· Understand the Investment Company Securities
· Learn the Rules of Conduct for Unfair Practices
· Understand the Code of Procedure
· How to Calculate Net Capital
· Understand the Rules and Requirements for Net Capital
· Learn the Rules of Customer Protection
· Learn the Requirements on Financial Reporting
TOPICS COVERED:
· Introduction
· LESSON 1: Supervision of Investment Banking Activities
· LESSON 2: Supervision of Trading and Market Making Activities (I-181)
· LESSON 3: Supervision of Brokerage Office Operations (I-337)
· LESSON 4: Sales and General Supervision; Regulatory Framework of the NASD
· LESSON 5: Compliance with Financial Responsibility Rules (II-201)
More Information
| Language | English |
| Course Length | 60.00 hours |
| Duration of Access | 120 Days from Purchase |
| Instructor | Self Study |
| Vendor | 360 Training (Read more about 360 Training accreditation.) |
| Course Certification | None |
| Prerequisites/Audience | Series 6 or 7 Certification |
| Requirements/Materials Included | None |
Price: $ 215.00 (USD)
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