Series 27

Financial and Operations Principal Qualification Examination

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Track	Title	Length
1	Copyright	0:21
2	Note From Publisher	0:47
3	Introduction	9:59
4	Section One: Net Capital	18:33
5	Tentative Net Capital	17:31
6	Other Haircuts and Adjustments	17:32
7	Fidelity Bond Excess Deductible Amounts	16:48
8	Other Types of Brokers	20:27
9	Regulatory Notification and Business Curtailment	11:49
10	Section Two: Customer Protection	15:47
11	Customer Protection Rule	8:38
12	Buy-In of Short Security Differences	11:46
13	Notification of Banks	16:20
14	Additional SIPC Rules	20:48
15	Section Three: Financial Reporting	19:01
16	Report Preparation and Internal Controls	18:37
17	SEC Risk Assessment Reports	15:59
18	Customer Disclosure Requirements	13:22
19	Section Four: Funding and Cash Management	18:46
20	Buying Power	19:32
21	Combined Positions in Margin Accounts	19:42
22	Margin Requirement Exceptions	17:02
23	Good Faith Account	20:31
24	Maintenance Margin Exceptions	13:52
25	Section Five	15:31
26	SEC Records Maintenance Requirements	19:02
27	Chapter Six	22:11
28	Conditions of Associated Person Membership	18:01
29	Chain of Command	18:31
30	Internal Inspections	16:60
31	Reviewing Account Activity and Disclosures	22:02
32	Regulation FD	25:18
33	Sanctions	22:29
34	Regulating a Member with Financial or Operational Difficulties	4:12
35	Chapter Seven: The Uniform Practice Code	16:17
36	Delivery Instructions	20:32
37	Computation of Interest	19:38
38	Units of Delivery for UITs and Certificates of Deposit	19:15
39	Account Transfers	14:10

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