Series 27: Physical Delivery

Taken from our Series 27 Online Guide

Physical Delivery

When a broker-dealer physically delivers a security, it has the right to require immediate payment by certified check, cashier’s check, bank draft, or cash. Brokerage firms that do not “self-clear,” however, are prohibited from accepting checks, cash, or securities from their customers. Checks must be forwarded instead to their clearing firms.

FINRA Rule 11330

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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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