Series 27: Risk Assessment Reporting Requirements

Taken from our Series 27 Online Guide

Risk Assessment Reporting Requirements

But wait—there’s more. There must be records of the records!

In order to demonstrate that it is meeting all the above recordkeeping requirements, each broker-dealer must provide the SEC with a Form 17-H within 60 calendar days after the end of each fiscal

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Risk Assessment Reporting Requirements, you might also be interested in:

Series 7 - 2.9.3 High-Yield or Junk Bonds

Series 53 - Exercise

Series 65 - Disability

Series 79 - 11.2.7. Valuing the Target

Series 7 - 13.1.1.1. Regulation FD

Series 3 - 6.3.1.2. Limit Orders

Series 24 - 5.9.2.2. Firm Quote Rule

Series 14 - 7.2.1.4. FINRA Membership

Series 63 - 3.1.2.4.1. Notice Filings

Series 53 - Rollovers

Series 50 - Exercise

Series 65 - 2.1.1.1 Right to Inspect Records

Series 50 - LGIP Operations and Fees

Series 79 - 11.2.3.2. Stock vs. Asset Purchases and Section 338(h)(10) Elections

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

I passed the SIE on my first attempt thanks to Solomon Exam Prep's structure and chapter guides consolidating a large amount of information into easy to learn material. I did not study finance in College and have been in Compliance for the better part of my career. This has been a validating experience thanks to Solomon Exam Prep.

Marlon Gonzalez-Perez, Tradition. New York, NY

I have used Solomon exam prep for the 6/63 and was able to pass on the first try. Now I’m taking the 65 and hope to do the same. I’ve used other recommended exam prep courses and came back to Solomon for the 65 because of ease of use. I would recommend Solomon to anyone that is in need of a securities exam. All the content is laid out in an easy to follow way.

Antonio Mendoza, State Farm. Santa Maria , CA.

I passed the Series 82 with the help of Solomon and I am more than happy to put myself in their hands to help me pass 24 and 79 still ahead of me. The materials were excellent and the staff was very responsive and helpful. Highest recommendation!

David Barrosse, Managing Partner, Capstone LLC

I passed the 82 and 63 within a few months coming from no financial background. The exam simulator is fantastic and has a large pool of questions.

Taylor Hawks, Maraboyina Capital. Dallas, TX