Series 27: Transmittal Of Notices And Reports

Taken from our Series 27 Online Guide

Transmittal of Notices and Reports

Every required notice or follow-up report must be sent to three places: the SEC’s principal office in Washington, DC; the regional SEC office, where the broker-dealer has its principal place of business; and FINRA. The notices or reports can be transmitted by email, text, or fax.

SEC Rule 17a-11(g)

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Transmittal Of Notices And Reports, you might also be interested in:

Series 79 - 9.6. Ongoing Reporting and Disclosure Obligations

Series 50 - Money Market Instruments

SIE - Exercise

Series 79 - Chapter 3 Practice Question Answers

Series 6 - 1.2.1.3. Underwriting Process: Cooling-Off Period

Series 53 - Acceptance of Delivery

Series 79 - 1.3. Other Sources

Series 65 - 7.1.1. Secondary Market Components

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

Excellent exam preparation! Passed on my 1st attempt! SIE EXAM DO LOTS OF PRACTICE EXAMS, AND FLASHCARDS. I found the real exam question easier than the Solomon's ones. Thank you!

Gil Malamut, Prudential. New York, NY

Awesome customer service and material. Will definitely be a returning customer

Michael, MM Financial Planning. New York, NY

The Series 6 Exam Simulator was a life saver. Thanks!

Ryan Ainsworth, Northwestern Mutual, Tacoma, WA

I began the process of studying for the Series 65 in October of 2013. I studied with two other exam prep companies. The result, a 70% each time.

Then, I bought Solomon’s Exam Prep 65. As I did with the other two, I went step by step, and when it said I was ready I sat for the exam! Boom! 80%, passing all four sections at once! So if you’re surfing the internet right now wondering who to go with….STOP….Solomon’s is the right choice for today’s professional to get the licensing you need done the first time, not the third!

Shad Johnson, The Mueller Companies, Canon City, CO