Series 27: Terminating A Registration

Taken from our Series 27 Online Guide

Terminating a Registration

When an associated person leaves a member firm, the firm must notify FINRA of the termination and provide the associated person a copy of the notice within 30 days. A member that fails to do so will be assessed a late filing fee.

An associated person’s termination may not take effect so long as any complaint is pending against the firm with which

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Terminating A Registration, you might also be interested in:

Series 65 - Exercise

Series 24 - Fair Prices and Commissions

Series 7 - 1.3.1. Preferred Dividends

Series 53 - Ledger Account Records

Series 27 - Transfer Fees

SIE - 8.3.2. Minimum Maintenance Requirements

Series 79 - Preparation of a Fairness Opinion

Series 52 - 4.4.1.2. Benchmark Yield Curves

Series 51 - Customers

Series 66 - Income Earned Within an Estate Account

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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 first try! Three hours and forty-five minutes might seem like a long time, but it flew by. The Solomon Exam Prep conditioned me very well. Utilizing the chapter quizzes and practice exams really helped apply my learning, and also helped with time management. (Series 7)

Ryan Thibault, PNC Investments. Lakewood, OH.

The virtual class and the test questions really helped me pass the Series 26. Thank you.

Todd Brubaker, Western & Southern Life, Akron, OH

After using other exam preps, I settled on Solomon. This material was spot on! If you follow the study guides, read the chapters, watch the videos and listen to the audio, you will pass!! Good Luck! Thank you Solomon!

Celeste Gullo, Allstate Insurance, Glen Head, NY

Passed my Series 82 comfortably with the Solomon Prep. Only studied for three weeks. Craig and team are very responsive. WOULD HIGHLY RECOMMEND over other exam prep.

Bryan Frinhani, Energy Financial Services. Norwalk, CT