Series 28 Audio

Solomon Exam Prep Guide to the Series 28, 1st Ed.

Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

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Track	Title	Length
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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