Series 28: Net Capital Reports

Taken from our Series 28 Online Guide

Net Capital Reports

Whenever a member firm’s tentative net capital has declined 20% or more from the amount reported in its most recent FOCUS report (or the most recent notification filed with FINRA), it must notify FINRA in writing and within no more than 48 hours.

Any member using the alternative method of computing net capital must file any supplemental or alternative reports required by FINRA.

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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!!!

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Nikita Brown, BMI. Atlanta, GA

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