Series 27: SIPC Authority

Taken from our Series 27 Online Guide

SIPC Authority

The Securities Investor Protection Corporation has no authority to combat investment fraud or to investigate or regulate its members. It has the narrower focus of overseeing the liquidation of member firms that close due to bankruptcy or financial trouble.

When a self-regulatory organization or the SEC becomes aware that a broker-dealer is in financial difficulty, it must notify SIPC. In the case of an imminent danger of member failure, SIPC m

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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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