Series 28: Notifications And Reports

Taken from our Series 28 Online Guide

Notifications and Reports

Each carrying or clearing member must submit to FINRA on an ongoing basis (or upon request) any financial and operational information FINRA deems essential to protect investors and the public interest. This applies also to institutional brokerage firms that transmit customer funds and securities on a DVP/RVP basis and do not carry margin accounts.

+ Read More

More Series 28 Info

What are people saying?

Create an Account

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

Series 99 - 1.2.4.2 Material, Non-Public Information

Series 3 - 6.1.4. Grain Fundamentals: Wheat and Corn

Series 7 - 8.3.7 Exchanges for Variable Life Insurance Contracts

Series 65 - 1.5.1.1 Systematic Risks

Series 7 - 9.4.1.1.4. Net Income

Series 53 - Municipal Advisors

Series 65 - 6.1.1.2.2.4 Reinvested Shares

Series 7 - 12.7.3 Intrastate Exemptions: Rule 147

Series 26 - Form BD (“BD” = Broker-Dealer)

Series 27 - Networking Arrangement Guidelines

SIE - 8.2.7.2. Uniform Transfers to Minors Act (UTMA) Accounts

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

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 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 studied for the Series 6 with the STC material and failed the exam. I then was provided with the Solomon material and passed! The Solomon material aligned very nicely with the actual exam which was very helpful. Also, Their customer service is out of this world! The President of the company even helped visa email and phone calls with study recommendations. I am now going to use their study material as I prepare for the Series 63. I LOVE Solomon! Thank you so much for your care, support and guidance. I have also recommended that our company use the Solomon material for all exams.

Valerie Nolan, Cetera, Forest Grove, OR

Recently passed the FINRA Series 22 Exam. Though the exam is short, the material is obscure and not what you deal with every day in the industry. Solomon did a great job of putting together material and providing a deep understanding. After about 6 weeks of studying and taking 2 practice exams a day, I passed the exam on the first try! Thanks for putting together a robust training product.

Eric Stroehle, Steelwater Wealth Management. Oakville, CT

When I took my SIE exam, I only spent 30 minutes taking the exam and I passed. It is amazing how Solomon goes into detail regarding information. You guys provide more information than Kaplan's SIE book. Thank you so much for helping me succeed in my endeavors. Onward and upward to the Series 7. I'm choosing Solomon again!

Zach Sloan, Cambridge Investment Research, Fairfield, IA