Series 28: (k)(2)(i)-Exempt Carrying Firms

Taken from our Series 28 Online Guide

(k)(2)(i)-Exempt Carrying Firms

A (k)(2)(i) exemption refers to Section (k)(2)(i) in the customer protection rule (see next chapter). A (k)(2)(i)-exempt firm does not carry margin accounts. It must promptly transmit all customer funds and securities received (by noon of the following business day), and it cannot otherwise hold funds or securities of c

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I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

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