Series 28: Use Of Proprietary Information

Taken from our Series 28 Online Guide

Use of Proprietary Information

When broker-dealers act in a fiduciary capacity, they often receive access to confidential, nonpublic information about the ownership of their customers’ securities. Broker-dealers may not use this information for financial gain or to solicit sales of securities, except with the issuer’s consent.

FINRA Rule 2060

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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

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

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!!!

Nikita Brown, BMI. Atlanta, GA

I just passed the S51 with an 86%. I want to express my sincere thanks to Solomon. I love the way you structure your practice exams. I always enjoy receiving speedy responses from Ask the Professor, especially from Karen. Karen, thank you for all your help, you are the best!!!!!!!

Margaret Chen, PFS Investment, Duluth, GA

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The materials for the SIE were very well organized and presented. The study guide is comprehensive and easy to understand. Beyond that what I found the most valuable were the practice exams particularly the detailed explanations after each set of answers. There are so many hidden gems in there be sure to scroll down so as not to miss that information. We done Solomon Prep!

Matthew Gould, GreyMan Management . Scottsdale, AZ.