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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TESTIMONIALS

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Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I passed my 27 and I can't thank you enough for the preparation materials, most importantly the Final Exams. I studied for weeks for this test and buckled down the last two weeks of 6 hour study days. It's a great feeling and I couldn't have done it without you!!!

Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

Your study material laid a great foundation in my understanding of the tested material and was instrumental in my passing the Series 50.

Steven Scharff, Springsted Incorporated, Saint Paul, MN

Just passed my Series 7 using Solomon Exam Prep! Have used Solomon for my Series 79 as well. Both study programs are excellent and felt well prepared sitting for my exams. Would recommend to others in the industry.

Natasha Trilli, Ocean Park. Houston, TX

I took my Series 24 on July 28 and passed!! I had not passed 2 prior Series 24 exams and was down to my last attempt. A fellow principal on my team who had not passed his Series 24 his first time told me about the Solomon practice tests and how they helped him. It was such a big help for me passing exam as the questions were structured more like the real exam than any other practice tests I’ve taken. I have since gone to other employees at my firm for other tests, such as the Series 7, SIE among others and have told them about the Solomon test materials and some of them are now purchasing Solomon as well.

Thadius Beavers, Prospera Financial. Dallas, TX.

I passed my SIE. I was using Kaplan and it was not working out as well. I did study the book, did the simulated exams about 15 times and quizzes at least 5 times each before taking the exam. The testimonials here helped me follow a strategy and I stayed focused on passing. Solomon exam prep material really prepares you for the exam, I passed on Aug 21 2021 after using other competitive materials to no success. Thank you Solomon Exam Prep.

Omo Vanwie, Morgan Stanley. Columbus, OH