Series 28: Exemptions And Special Provisions

Taken from our Series 28 Online Guide

Exemptions and Special Provisions

Broker-dealers that are exempt from the recordkeeping requirements are, of course, exempt from the reporting requirements. Again, these are introducing brokers that do not maintain capital in excess of $20,000,000, broker-dealers whose only transactions involve investment companies or insurance company se

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Exemptions And Special Provisions, you might also be interested in:

Series 6 - 7.5.2.2. Death of a Customer

Series 65 - 2.16.2.1. Internal Rate of Return and Yield to Maturity

Series 79 - 11.3.3. The Final Round

Series 50 - Credit Enhancements

Series 79 - A1.8.2. Capital Gains and Losses

Series 24 - 2.4.1.1. Regulation Best Interest

Series 27 - Common Stock and Other Equity Securities

Series 26 - Structure of Open-End Management Companies

Series 66 - Transfer Rights

Series 53 - Forms of Issuance

Series 14 - 6.1.8.1.4. Education and Training of Employees

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

I passed the 24 the first time with the help of the Solomon materials. The online course and the exams really helped focus in and clarify what was important. I've recommended them to all of my colleagues!

Corrinne Kaucher

My third exam passed with Solomon, first the Series 6 and the Series 63, this time the Series 65 - just passed today! Highly recommend for any exam prep you need! Thank you again guys!

Brad Eiden, Nationwide Advisory, Louisville, KY

Thank you...thank you. I took my Series 7 yesterday and passed....1st try. Read the whole book 3 times. My system was to go through and answer the questions I was positive about. Good guess at the others and park them for review. The hardest part is trying to understand what they are actually asking. This way I wasn’t bogged down and stressed being stuck on a question. Second time around go through all those parked questions...digging deeper...checking my calculations etc. again parking the ones that totally stumped me. Third time around....educated guesses and what seemed to make sense. Also, on my way there, I was picturing myself in the room....sitting at the computer (yes, I took a dry run to see the inside). It took that part of the unknown out of the equation. Be prepared for the masks and Covid precautions. Any options questions, as tricky as they make them, I would look at my charts and was able to make sense of what they were asking. Finished the test in record time. Being prepared gave me the confidence to get through it. Many thanks Lorraine

Lorraine Harrod, PNC, Lewes, DE