Series 28: FINRA’s Capital Compliance Rule

Taken from our Series 28 Online Guide

FINRA’s Capital Compliance Rule

FINRA’s capital compliance rule is intended to guard against and prevent the failure of a member firm to maintain its net capital requirements. Among its provisions, the rule allows FINRA to raise a firm’s minimum capital requirements, suspend its business operations, and limit its ability to withdraw capital.

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: FINRA’s Capital Compliance Rule, you might also be interested in:

Series 24 - 5.10.1.4. Access to Quotations

Series 65 - 1.4.2.2.4. Trading Gaps

Series 24 - Outside Private Transactions

Series 24 - 4.1.6.1. Preliminary Prospectus (Red Herring)

Series 26 - Sales Literature Deemed Misleading

Series 54 - Engineering Exclusion

Series 99 - 1.2.2.1.1 Special Kinds of Individual Accounts

Series 63 - Loans to and From Clients

Series 24 - 4.1.12.6. Denial, Suspension, or Revocation of Registration

Series 6 - 4.2.11.5. U.S. Savings Bonds

Series 66 - Cash Flow Statement

Series 65 - 9.2.2.2. Rescission

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

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 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.

Gayle Espinosa. Los Angeles, CA

I never would have passed the 79 if not for Karen and Solomon Exam Prep. Thanks guys!

Bob Vinson, Houston, TX

Solomon Exam Prep was great! I passed my Series 22 with their materials. I failed my first time taking the exam using the Securities Institute of America's material. I was completely shocked because I did well in all my practice exams. So, I did extra research and found Solomon Exam Prep. It was exactly like the FINRA outline which was perfect. Highly suggest Solomon Exam Prep for Series 22.

Becky Eriksson, Cabin Securities. Los Angeles, CA

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI