Series 27: Exercise

Taken from our Series 27 Online Guide


Answer the following questions

  1. 1. _____ Which part of Form X-17A-5 must be filled out by all firms?
  2. 2. _____ Which is the only type of firm to require that Part I of Form X-17A-5 be filled out?
  3. 3. _____ Which is the only part of Form X-17A-5 that must be filled out monthly, by the 10th business day after the month’s end?
  4. 4. _____ Who has to fill out supplements to the FOCUS reports?


  1. 1. Schedule I. Note that while quarterly reports are filled out by all firms, th

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

Solomon Exam Prep Study Materials for the Series 27
Please Enable Javascript
to view this content!