Series 27

Financial and Operations Principal Qualification Examination

Have questions or need assistance with your audio download? Please refer to our FAQ page for more information.

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

Purchase this Audiobook

Audio Sample

Thank you for listening to our audio samples.

Click here to purchase this audio book and unlock all the tracks.

Site Login

TESTIMONIALS

What are people saying?

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

Many thanks to the fine staff at Solomon Exam Prep. I'm happy to report that I passed the Series 50 Municipal Advisor exam on my first attempt. The written material is extremely thorough and comprehensive. With respect to the online quizzes and final exams, the questions are very comparable in difficulty to the actual exam, thus providing the foundation for success. A special word of thanks to Carson for his encouragement and support.

Tony Chiappetta, Sudsina & Associates, Mars, PA

I passed the Series 26 exam last Thursday. As a Physician with very limited time to sit and study, I listened to the CDs over and over again as I drove to and from work, and that really helped me. I will be ordering the Series 65 materials soon.

Daniel Asiedu, PFS Investments, Lincoln, RI

Thanks to the Solomon 79 exam class and online simulator I passed the 79! Your materials beat the competitors hands-down.

Shawn Leventhal, New York, NY

I used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

Thanks for your help. I passed my Series 6 test! Couldn't have done it without Solomon Exam Prep study materials.

Joshua J. Parsons, Redbud Financial Group, Oklahoma City, Oklahoma