Series 28: Settlement And Cancellation

Taken from our Series 28 Online Guide

Settlement and Cancellation

FINRA’s Uniform Practice Code Committee has authority to fix a settlement date and decide whether a contract should be honored or cancelled. The settlement date will be determined by the UPC Committee when a sufficient percentage of the issue is outstanding. The contract will be cancelled if any of the following occur:

• The UPC Committee deems it necessary to resolve any conflict regarding the c

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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

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

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

Thank you...thank you. I took my Series 7 yesterday and passed....1st try. Read the whole book 3 times. My system was to go through and answer the questions I was positive about. Good guess at the others and park them for review. The hardest part is trying to understand what they are actually asking. This way I wasn’t bogged down and stressed being stuck on a question. Second time around go through all those parked questions...digging deeper...checking my calculations etc. again parking the ones that totally stumped me. Third time around....educated guesses and what seemed to make sense. Also, on my way there, I was picturing myself in the room....sitting at the computer (yes, I took a dry run to see the inside). It took that part of the unknown out of the equation. Be prepared for the masks and Covid precautions. Any options questions, as tricky as they make them, I would look at my charts and was able to make sense of what they were asking. Finished the test in record time. Being prepared gave me the confidence to get through it. Many thanks Lorraine

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