Series 27: (k)(2)(i)-Exempt Carrying Firms

Taken from our Series 27 Online Guide

(k)(2)(i)-Exempt Carrying Firms

A (k)(2)(i) exemption refers to Section (k)(2)(i) in the customer protection rule (see next chapter). A (k)(2)(i)-exempt firm does not carry margin accounts. It must promptly transmit all customer funds and securities received (by noon of the following business day), and it cannot otherwise hold funds or securities of c

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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 ;)

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