Series 24 study plan

Map each core broker-dealer function (order entry and handling, clearance and settlement, recordkeeping, financial reporting, compensation) to the supervisory obligation it triggers, and record the mapping in a control matrix

Explain in writing the net capital rule's minimum requirement, the meaning of the early-warning threshold, and the notification duties that arise when capital falls below either level

Build a retention-period reference table covering principal ledgers, customer account records, order tickets, and business communications

Draft the skeleton of a written supervisory procedure for reviewing an exception report from trade capture through resolution and sign-off

Convert the week-1 control matrix into a self-quiz of at least 40 scenario items and answer them without notes

Differentiate the supervisory duties owed to retail customers from those owed to institutional customers in the areas of suitability, disclosure, and confirmation content

Sequence the steps a principal must take when a registered representative's activity suggests a sales-practice violation, from detection through escalation and remediation

Write a one-paragraph justification for each answer missed on the self-quiz, citing the underlying obligation rather than the answer choice

Classify account-opening requirements by customer type and document what must be verified, disclosed, and approved before the first trade

Distinguish discretionary from non-discretionary authority and describe the written authorization and principal review each requires

Outline the escalation path for a customer complaint from receipt through investigation, response, and recordkeeping, including the trigger points for senior review

Compare the disclosure and approval obligations that apply to communications with retail customers versus institutional investors

Draft a one-page WSP for handling a customer complaint that names each decision point and the role that owns it

Trace an order from receipt to execution to allocation, naming the supervisory checkpoint and the record generated at each stage

Explain market-making obligations, quotation responsibilities, and the limits on a firm's ability to trade ahead of or alongside customer orders

Identify the principal's role in detecting and resolving trading errors, mismarked tickets, and unauthorized proprietary positions

Assemble a list of red-flag trading patterns that warrant escalation and state the specific escalation each pattern triggers

Sit a timed 50-question mixed F2/F3/F4 diagnostic and log results by sub-area

Describe the information barriers a firm must maintain between trading and investment banking, and name the controls that make a barrier auditable

Sequence the supervisory approvals required before, during, and after a securities offering, including the review of marketing materials and the allocation of shares

Explain how research is separated from investment banking influence and what supervisory review applies to published and unpublished research

Write a one-page walkthrough of a hypothetical deal from mandate through closing, flagging each point where a principal must sign off

Outline the registration, qualification, and continuing-education obligations that apply to a firm's associated persons, and state which lapses must be reported

Distinguish statutory disqualification from less severe disclosure events and describe the process for evaluating each

Draft a personnel supervisory calendar covering registration renewals, CE windows, and periodic compliance attestations

List the supervisory consequences that attach to failing to supervise, including the escalation, remediation, and reporting duties that follow a finding

Complete a 30-item self-test on registration and personnel management and score it

Re-work every item missed across weeks 2 through 6 and rewrite the underlying rule concept for each without consulting notes

Synthesize the domains into cross-cutting themes (supervisory responsibility, escalation, recordkeeping, disclosure) and write one page per theme

Practise applying judgment to ambiguous scenarios by writing the strongest and weakest response to ten such scenarios and explaining the discrimination

Review your graded WSPs from earlier weeks and revise each to remove any step that lacks an accountable owner or retained evidence

Sit two full-length timed practice exams under test-day conditions and record scores by domain and sub-area

Drill only the three lowest-scoring sub-areas identified in each exam until each reaches at least 85 percent on a fresh set of items

Rehearse the test-day routine: timing checkpoints, flag-and-return strategy, and handling of lengthy scenario stems

Confirm final readiness by writing a one-page self-assessment naming the remaining risks and the specific content to review the morning of the exam