Series 28: Supervision Of Supervisors

Taken from our Series 28 Online Guide

Supervision of Supervisors

Supervisory procedures must identify the titles, registration status, locations, and responsibilities of the firm’s required supervisory personnel. It must keep a record, for a period of not less than three years (the first two years in an easily accessible place), of the names of all supervisory personnel and the dates they obtained their supervisory positions.

Supervisory procedures must also prohibit supervisors from supervising their own activities. They must prohibit supervisors from reporting to individu

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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.

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