Series 27: Change Of Exempt Status

Taken from our Series 27 Online Guide

Change of Exempt Status

A FINRA member that is exempt from the financial restrictions of the customer protection rule generally may not change its method of doing business in a manner that will change its exempt status. Member firms cannot change their exempt status as dealers of redeemable investment company securities or introducing broker-dealers to brokers of redeemable investment company securities wi

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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 ;)

Nikita Brown, BMI. Atlanta, GA

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