Series 28: FINRA Member Supervisory Responsibilities

Taken from our Series 28 Online Guide

FINRA Member Supervisory Responsibilities

The Exchange Act of 1934 empowers the SEC to take punitive action against any FINRA member that has willfully violated securities laws or failed to supervise an employee who violated securities law. The Act goes on to say, however, that supervisors who have p

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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

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Nikita Brown, BMI. Atlanta, GA

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