Exam Domains

1 Supervision of Investment Banking and Research Weight not published

2 Supervision of Trading and Market Making Weight not published

3 Supervision of Brokerage Office Operations Weight not published

4 Sales Supervision Weight not published

5 Regulatory Framework Weight not published

Exam Details

Question TypesMultiple Choice

FormatLinear

Online ProctoringAvailable

ID RequirementsTwo forms of ID required: one government-issued photo ID (primary) and one secondary ID. Name on ID must match FINRA registration exactly.

RenewalRequired -- FINRA licenses remain active as long as registered with a member firm. Regulatory Element continuing education required within 120 days of 2-year anniversary, then every 3 years. Firm Element CE also required annually. If registration lapses, must retake exam after 2+ years of inactivity.

PrerequisitesMust hold active Series 7 or Series 79 registration

Retake Policy30-day waiting period after first and second failed attempts. 180-day waiting period after third failed attempt and any subsequent failures. Full exam fee required for each retake.

LanguagesEnglish

General Securities Principal Exam (Series 24) (Series 24) Exam Blueprint

Exam Domains

Exam Details

Official Study Resources