Series 28: Clearing Firm Extension Requests

Taken from our Series 28 Online Guide

Clearing Firm Extension Requests

Clearing firms that request extensions of time on behalf of their broker-dealer clients must submit the requests to FINRA for approval. Requests should only be made under exceptional circumstances. Clearing firms must assure themselves prior to submittal tha

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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!!!

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Nikita Brown, BMI. Atlanta, GA

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