Series 27: Chapter Two: Other Financial Responsibility Rules

Taken from our Series 27 Online Guide

Chapter Two

Other Financial Responsibility Rules

The net capital rule and the customer protection rule belong to a series of rules that are known collectively as the financial responsibility rules. While the net capital rule is designed to protect the financial integrity of the firm, the other financial responsibility rules are designed to protect the customers’ securities in the event of a firm’s insolvency.

In addition, the Securities Investor Protection Act provides insurance protection for investors’ financial assets.

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Chapter Two: Other Financial Responsibility Rules, you might also be interested in:

Series 65 - 2.3.2 Liquidation

Series 26 - Specified Settlement Instructions

Series 24 - Regulation M, Rule 105

Series 63 - Exemptions to Issuer and Security Registration

Series 53 - 6.2.3. Delivery and Payment

Series 53 - Customer Trade Confirmation

Please Enable Javascript
to view this content!

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

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 ;)

Nikita Brown, BMI. Atlanta, GA

Solomon has a dedicated team of professionals who prepare the written materials, present video summaries and provide practice exams in 4 different formats and are available anytime to answer questions and clarify materials. Thanks to a robust study program I felt fully prepared and confident to write the Series 82 exam and achieved a score of 87%. Thank you Solomon Exam Prep.

Karen Powell, Wren Capital LLC, NY, NY

I used Solomon for the Series 52 after failing twice with Kaplan and STC. Solomon was immensely more helpful, simpler to understand, and more accurate than both companies combined. The practice questions were very similar to the ones I saw on the exam and the Ask the Professor feature was quick and helpful. I will be using Solomon for the Series 7 in a few months, and I recommend everyone who need to take a FINRA exam to use Solomon before anything else.

Christopher P, Academy Securities. New York, NY.

I passed the Series 63 after using the study materials from Solomon. The practice exam and quizzes were the most amount of help. How the questions are asked really makes a difference. It gets your mind ready for how the exam will phrase the questions. Highly recommend this to anyone taking the Series 6 and/or 63. Great material! Will be returning for the Series 7 in the future.

Joseph DeLoach, WoodmenLife, Eatonton, GA

Passed the Series 79, was really difficult but the materials prepared me well. Was passing the practice exams with mid 80's to high 90's the last two days. Highly recommend using Solomon.

Natasha Trilli, Ocean Park. Houston, TX