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GENERAL
SECURITIES PRINCIPAL
The
NASD General Securities Principal Qualification examination
(NASD Series 24) is designed to test a candidate's knowledge
of the rules and statutory provisions applicable to the management
of a general securities broker/dealer. The General Securities
Principal Qualification examination is composed of 150 multiple-choice
questions with a maximum of 3 ½ hours testing time to
complete the examination.
|
|
Topics |
Number
of Questions
|
|
1.
|
Supervision
of investment banking activities
|
23
|
|
2.
|
Supervision
of trading and market making activities |
39
|
|
3.
|
Supervision
of brokerage office operations |
34
|
|
4.
|
Sales
supervision; general supervision of employees; regulatory
framework of the NASD |
38
|
|
5.
|
Compliance
with financial responsibility rules |
16
|
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