Series 28: Changes In Account Name Or Designation

Taken from our Series 28 Online Guide

Changes in Account Name or Designation

Before any customer order is executed, broker-dealers must place the name of the account on the order form. No change in the account name may be made, unless it has been authorized by a qualified and registered principal. The principal must, prior to giving her approval of the change, be personally informed of its essential facts and indicate her written approval of the cha

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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

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