Series 28: Regulating A Member With Financial Or Operational Difficulties

Taken from our Series 28 Online Guide

Regulating a Member with Financial or Operational Difficulties

A violation of FINRA’s net capital requirements follows a more expedited procedure, when member firms contest a FINRA order to curtail their business operations.

A FINRA notice directing a member firm to restrict its business activities must state the specific grounds for FINRA’s action and the requirements or restrictions being imposed. The notice must also specify that the requirements or restrictions are immediately effective. It will further state how to comply with the restrictions, and it will inform the member that failure to com

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Regulating A Member With Financial Or Operational Difficulties, you might also be interested in:

Series 3 - 7.6.2.1. Arbitration Panel

Series 3 - 4.2.1. Trading Cycle

Series 7 - 13.1.1.2 Use of Information Obtained in Fiduciary Capacity

Series 6 - 3.3.1. Traditional IRAs

Series 79 - 6.1. Registration Timeline

Series 53 - 4.2.2.1. Key Documents

Series 24 - Chapter 1 Practice Question Answers

Series 50 - Financial Section

Series 63 - Post-Registration Requirements

Series 3 - 3.4.2.1. Soybean Crush Spread

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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 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

Passed SIE on the first attempt! The multi-prong study approach Solomon puts together - read, take notes, watch videos, practice tests, review - is very effective. By the time I had worked through the plan and used the reports to bolster my weak areas, I walked into the test center with high confidence. It took a lot of time and was hard work, but the test plan and materials made it possible.

Dave Stakland, Cambridge Investment Research. Fairfield, IA.

I recently passed the Series 65 exam, really recommend this study material. I used other vendors before with no success; this is the best in the market. Thanks so much!

Mauricio Reyes. Boca Raton, FL

I passed the Series 65 with a 92% thanks to the Solomon practice exams. The questions on the practice exams were very similar to what I actually encountered on the actual exam, and the ability to take unlimited practice exams really built my knowledge and confidence. I highly recommend this product to anyone studying for the Series 65.

Neal Thompson, Denver, CO, Series 65