Ask the Professor
Ask the Professor

Series 27

Financial and Operations Principal Qualification Examination

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Track Title Bookmark Length Download
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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