Series 28: Independent Public Accountant Exemptions

Taken from our Series 28 Online Guide

Independent Public Accountant Exemptions

A member firm is not required to engage an independent public accountant to provide annual reports if, since the date of the broker-dealer’s registration or since the previous annual reports were filed, the broker-dealer has solely been engaged as agent for a securities issuer. In other words, a firm is exempt if it has:

• Never held any

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Independent Public Accountant Exemptions, you might also be interested in:

Series 52 - 7.2.2. Important Coincident Indicators

Series 53 - Rule G-8—Required Books and Records

Series 65 - Incorporation by Reference

Series 7 - 3.4.1.1.1. Out-Firm Quotations

Series 82 - 1.1.2.1.9. Private Placement Liabilities

Series 24 - SEC Rules to Regulate Short Selling

Series 7 - 9.4.2.7 Accumulation/Distribution Indicator

Series 26 - Exercise

Series 66 - 3.7.4.1. Waiver of Premium

Series 24 - Filing Requirements and Disclosures

Series 82 - Settlement Offers

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

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

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

Soloman's practice exams are a powerful tool! Just passed SIE - will be looking to use their other content for the top-off exams very soon. Thank you!

John S. Clearing Firm Charlotte, NC

Thanks to Solomon, the 79 went smoothly. Your materials were phenomenal in my preparation.

Nate Nead, InvestmentBank.com, Seattle, WA

I loved using Solomon Exam Prep. I used Solomon for 1 month and passed my Series 65 exam. I had previously used Kaplan and failed the same exam. I feel as if Solomon provided significantly better Exam prep and technology in a more concise manner than any other system I have used. Thank you for such a great service.

Mackenzie Abbate Knights of Columbus Slidell, Louisiana