Series 28: Terminating A Registration

Taken from our Series 28 Online Guide

Terminating a Registration

When an associated person leaves a member firm, the firm must notify FINRA of the termination and provide the associated person a copy of the notice within 30 days. A member that fails to do so will be assessed a late filing fee.

An associated person’s termination may not take effect so long as any complaint is pending against the firm with which

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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 ;)

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Nikita Brown, BMI. Atlanta, GA

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