Series 27: FINRA Member Supervisory Responsibilities

Taken from our Series 27 Online Guide

FINRA Member Supervisory Responsibilities

The Exchange Act of 1934 empowers the SEC to take punitive action against any FINRA member that has willfully violated securities laws or failed to supervise an employee who violated securities law. The Act goes on to say, however, that supervisors who have p

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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

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Adam Drewry, Parsonex Securities. Denver, CO