Series 28: Transmittal Of Notices And Reports

Taken from our Series 28 Online Guide

Transmittal of Notices and Reports

Every required notice or follow-up report must be sent to three places: the SEC’s principal office in Washington, DC; the regional SEC office, where the broker-dealer has its principal place of business; and FINRA. The notices or reports can be transmitted by email, text, or fax.

SEC Rule 17a-11(g)

+ Read More

More Series 28 Info

What are people saying?

Create an Account

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

Series 26 - Maintaining Customer Accounts

Series 22 - 6.1.7. Fixed-Price Requirement

Series 66 - 8.1.2.3.2.1 Special Subscription Form

Series 27 - Conditions of Associated Person Membership

Series 26 - Different Types of Settlement Dates

Series 24 - 5.2. Types of Markets

SIE - Tax Basis on Shares After a Stock Split

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

Previously I used another prep company for the Series 63 and did not pass. Second time around I used Solomon and passed! What's more, I felt much more confident from taking the practice exams and working towards a higher and higher probability rate of passing. Thank you Solomon! I'll definitely use you again with any future security exams.

Max Thomas, Finalis / Evalla Advisors LLC. Los Angeles, CA

I had a super rough go passing this (Series 7) exam due to a number of personal circumstances, but on my third attempt, I finally passed, with 30 minutes to spare! After my second failed attempt (I failed by ONE question), I spoke to Jeremy Solomon on the phone and via email, and he provided me with some strategies to help me pass the exam once and for all. I focused heavily on rereading the study guide, and teaching concepts to my spouse so that I wasn’t just learning the information, but really understanding it to the point where I could teach it to someone else. The exam simulators are super helpful, but don’t overdo it… this really isn’t the kind of test where you can only learn by doing practice questions. Re-watching the video lectures was very helpful for me as well. I also recommend making flash cards for memorization purposes. If you fail like me, don’t give up - perseverance (and more studying) will get you to the finish line!

Molly Magnuson, CBIZ Retirement & Investment Solutions. Kansas City, MO

I have passed the Series 6, 63, and 26 on my first tries, all with the excellent training offered by Solomon. I'll never use another platform for my material.

Jodee Hempel, Woodmen Financial Services. Omaha, NE