Series 27: Exemptions And Special Provisions

Taken from our Series 27 Online Guide

Exemptions and Special Provisions

There are a handful of cases in which a broker-dealer does not have to comply with these recordkeeping requirements. For example, if a significant affiliate is beholden to a federal banking agency or the Commodity Futures Trading Commission, the broker-dealer is simply required to maintain all the affiliate’s submitted repo

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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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