Series 28: Notification Of Change Of Fiscal Year

Taken from our Series 28 Online Guide

Notification of Change of Fiscal Year

In the event any broker-dealer needs to change its fiscal year (because of a merger with another company, for instance), it must notify the SEC and FINRA. The notice must contain a detailed explanation of the reasons for the change. Any change in the filing period for the audit report must be approved by FINRA.

SEC Rule 17a-5(n)

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Notification Of Change Of Fiscal Year, you might also be interested in:

Series 6 - Function Four

Series 65 - 10.6.3. Requirements for Broker-Dealers

Series 24 - Clearly Erroneous Transactions

Series 6 - Series 6 Online Guide

Series 7 - 9.4.1.2.3 Shareholders’ Equity

Series 66 - Portfolio Income

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

Thanks for your help. I passed my Series 6 test! Couldn't have done it without Solomon Exam Prep study materials.

Joshua J. Parsons, Redbud Financial Group, Oklahoma City, Oklahoma

Had a challenge the first time with another provider and switched to Solomon. I found Solomon materials to be more comprehensive and the videos were a big help for the way I learn. Thanks to everyone at Solomon for going the extra mile.

Ray Catone, Fort Lauderdale, FL

What a relief. I didn't get a chance to study that much, but your online sample questions were spot on and the reason why I passed [the Series 79].

Andrew Y., Pacific Palisades, CA