Series 28: Deficiency Notices And Reports

Taken from our Series 28 Online Guide

Deficiency Notices and Reports

In the event that a broker-dealer is in violation of one or more financial rules, it must submit additional notifications. These can be broken into two categories: notifications it must make on the day the violation occurs and notifications it must make on the next day. Let’s look at each in turn.

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Deficiency Notices And Reports, you might also be interested in:

Series 50 - Issuing a Municipal Bond

Series 63 - 5.2 Practical Application

Series 51 - Form G-32 Information

Series 82 - 4.7.1. Investigations

Series 65 - Stop Orders

Series 65 - 1.4.5.1.1.1. Calculating the Future Value (of a Present Sum)

Series 79 - Chapter 13

Series 65 - Opportunity Cost

Series 51 - Suitability

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

Special thanks to Solomon for ensuring I pass the 65! Trust in the material and you will pass. I bought multiple resources and by far, Solomon was the best. Thanks again.

Paige Robino, Fisher Investments, Plano, TX

Just passed my Series 7 using Solomon Exam Prep! Have used Solomon for my Series 79 as well. Both study programs are excellent and felt well prepared sitting for my exams. Would recommend to others in the industry.

Natasha Trilli, Ocean Park. Houston, TX

I just passed the Series 50 exam! Yay! The Solomon Exam Prep materials are excellent. I utilized the guide book, on-line lecture, on-line course, on-line study guide and quizzes. The "Ask the Professor" feature was very helpful as well. I highly recommend their resources.

Lori Volz, Baker Tilly, Minneapolis, MN