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

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: SIPC Authority, you might also be interested in:

Series 14 - 7.2.4.2.2. Investment Adviser Representatives

Series 65 - Exercise

Series 63 - Chapter 4

Series 26 - Review Standards for Annual Inspection Report

Series 79 - Fiscal Policy

SIE - Cooling-Off Period

Series 82 - Interest Payments

Series 79 - 2.8. Offering Structures

Series 66 - 9.3.5 Suitability

Series 7 - 3.6.18 Rule G-18—Fair and Reasonable Price Execution

Series 82 - 2.1.1.2. Verification of Accredited Investors and QIBs

Series 50 - Chapter 5 Practice Question Answers

Series 27 - Written Supervisory Procedures (WSPs)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

Special thanks to Solomon for ensuring I pass the 65! Trust in the material and you will pass. I bought multiple resources and by far, Solomon was the best. Thanks again.

Paige Robino, Fisher Investments, Plano, TX

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE

I just passed my Series 26, Principal license. Thank you Solomon, the content was great and the exam simulator was the perfect tool to get this passed!

Greg Fierle, American Fidelity. Springboro, OH

What an excellent resource! I passed my SIE Exam on my first try and Solomon Exam Prep did an excellent job preparing me for the test. I would highly recommend purchasing the study guide, video lectures, and the exam simulator. The exam simulator is especially helpful. As long as you are scoring consistently in the mid to high seventies on the timed practice exams, you will have no problem with the actual exam. Thank you again to Solomon!

Carter Spearry, Merrill Lynch. Rocky River, OH