Series 27: Reconfirmation Of Fails To Deliver

Taken from our Series 27 Online Guide

Reconfirmation of Fails to Deliver

Member firms that clear their OTC transactions through a registered clearing agency must participate in fail reconfirmation and pricing services when offered. The NSCC’s Reconfirmation and Pricing Service (“RECAPS”), for example, is an automated fail clearance system for eligible securities.

RECAPS serves as a central depository for failed or unsettled broker-to-broker obligations and allows its u

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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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Candace Chavez, Cetera Investment Services. Wimberley, TX.

I took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

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