Challenge Your Exam Readiness With Our Free Series 24 License Practice Questions

Question # 11

Who is responsible for ensuring the firm’s supervisory procedures are tested and verified annually?

Options:

A.

Branch managers

B.

The designated principal or CEO

C.

The compliance analysts

D.

The FINRA district office

Viewing question 11 out of 69 questions
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Series 24 License Overview

Name Series 24 License
Code Series 24 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 24 License Questions