Series 28: Filing Requirements

Taken from our Series 28 Online Guide

Filing Requirements

Filing requirements are deemed to have been fulfilled when the files are received at the SEC’s principal office in Washington, DC—with duplicate originals simultaneously filed at the regional office in which the broker-dealer has its principal place of business.

SEC Rule 17a-5(o)

Since you're reading about Series 28: Filing Requirements, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 28
Please Enable Javascript
to view this content!