Ask the Professor
Ask the Professor

Series 28

Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

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Track Title Bookmark Length Download
1 Copyright 0:21
2 Note From the Publisher 0:47
3 Introduction 9:19
4 Section One: Net Capital 18:40
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 20:11
11 Other Customer Protection Rules 15:48
12 Understanding Margin 18:30
13 Buying Power 19:32
14 Combined Positions in Margin Accounts 19:42
15 Margin Requirement Exceptions 17:02
16 Good Faith Account 20:31
17 Maintenance Margin Exceptions 13:52
18 Section Three 19:02
19 Report Preparation and Internal Controls 18:37
20 SEC Risk Assessment Reports 15:59
21 Section Four 15:30
22 SEC Records Maintenance Requirements 19:02
23 Chapter Five 22:11
24 Conditions of Associated Person Membership 18:01
25 Chain ofCommand 18:30
26 Internal Inspections 16:60
27 Reviewing Account Activity and Disclosures 22:02
28 Regulation FD 25:18
29 Sanctions 22:29
30 Regulating a Member with Financial or Operational Difficulties 4:12
31 Chapter Six 16:17
32 Delivery Instructions 20:32
33 Computation of Interest 19:38
34 Units of Delivery for UITs and Certificates of Deposit 19:15
35 Account Transfers 14:10
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