Series 28: Code Of Procedure

Taken from our Series 28 Online Guide

Code of Procedure

FINRA may issue a complaint against any member firm or associated person who is suspected of violating any rule, law, or regulation under FINRA’s jurisdiction. Complaints must be delivered in writing to the accused person and the Office of Hearing Officers. The Office of Hearing Officers will promptly assign a Hearing Officer

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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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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

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