Series 27: Exemptions And Special Provisions

Taken from our Series 27 Online Guide

Exemptions and Special Provisions

Broker-dealers that are exempt from the recordkeeping requirements are, of course, exempt from the reporting requirements. Again, these are introducing brokers that do not maintain capital in excess of $20,000,000, broker-dealers whose only transactions involve investment companies or insurance company se

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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 ;)

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! The Solomon curriculum prepared me well enough to make me feel comfortable during the actual exam. Practice questions and mock exams were challenging enough to test my knowledge but not too challenging to the point where I was discouraged.

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