Series 28: FINRA Financial Reporting Rules

Taken from our Series 28 Online Guide

FINRA Financial Reporting Rules

At this point, you might think a broker-dealer would be done with recordkeeping and reporting—but you’d be wrong. Like the SEC, FINRA also wants to know about the financial integrity of its member firms. Consequently, it imposes its own recordkeeping and reporting requirements.

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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

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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