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)

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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!!!

Nikita Brown, BMI. Atlanta, GA

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Gayle Espinosa. Los Angeles, CA

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Nikita Brown, BMI. Atlanta, GA

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