Conquer the FINRA Principal Exams: Your Guide to Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, and 39 Certification

Principal-Level Exams from the Financial Industry Regulatory Authority (FINRA)

De: Philip Martin McCaulay

Narrado por: Virtual Voice

Conquer the FINRA Principal Exams is a focused study guide created for professionals preparing for FINRA’s principal-level certification exams, including Series 4, 9/10, 14, 16, 23, 24, 26, 27, 28, and 39. This book offers a clear, concise overview of the core concepts tested across these exams, helping readers build a strong foundation in topics such as supervision, compliance, financial operations, regulatory reporting, and investor suitability.

While this guide does not provide exhaustive coverage of every exam topic, it serves as a valuable supplement to more comprehensive study materials. Each chapter breaks down complex regulatory requirements into digestible sections, highlighting essential principles that every prospective principal needs to understand. Whether you’re reviewing options supervision, AML programs, net capital calculations, or oversight of DPP offerings, the material is designed to support exam readiness by reinforcing clarity and confidence.

This book is ideal for busy professionals seeking a fast, structured review of principal-level responsibilities. By focusing on the most important concepts and offering real-world context, it helps readers quickly identify gaps in their knowledge and prioritize further study. Use this guide to boost your preparation, sharpen your understanding, and take the next step in your financial services career.