Series 28: Exercise

Taken from our Series 28 Online Guide

We have an Audiobook for this text!

Exercise

Fill in the blank

1. In a customer account transfer, the carrying party has _____ to validate and return the transfer instruction to the receiving party or to take exception to it.
2. A _____ is an issue in default or a security that may only be held by specified broker-dealers and the receiving party isn’t one of them.
3. Within _____ following the validation of a transfer instruction, the carrying party must com

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Exercise, you might also be interested in:

SIE - Preferred Dividends

Series 65 - Roth 401(k)

Series 66 - Stop Orders

SIE - 10.2.11. Regulation of Political Contributions (“Pay to Play” Rule)

Series 7 - Exercise

Series 24 - 4.1.7.2. Corporate Financing Rule (FINRA Rule 5110)

Series 14 - Chapter 3 Practice Question Answers

Series 82 - Interest Rate Risk

Series 50 - Definitions

Series 7 - 3.3.3.2 Distribution of Profits

Series 7 - Exercise

Series 79 - 10.2. Intrastate Offerings: Rules 147 and 147A

Series 65 - Balance Sheet

Series 66 - 3.7.4.2. Insurance Loans

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

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 Solomon! I passed the Series 65 today on the 1st attempt. Same result as on the Series 63 I passed last year. The Solomon video lectures and exam simulator was awesome. It not only helped pass the test but helped me really understand all the material.

Gary Kilanowski. Scottsdale, AZ

Nikita Brown, BMI. Atlanta, GA

Thank you, Solomon! I passed the SIE and am now working on Series 7. Coming from a background outside of Wealth Management and Finance, I found this material very user friendly. I regularly used the iPhone app as well as the online material, followed the study guide and took A LOT of practice tests. I am grateful for the team at Solomon with a special call out to Madi B and Jeremy S who gave me additional support whenever I needed it. I look forward to the Series 7 content as I was very impressed with the SIE content.

Jeremy Johnson, RBC Wealth Management. Green Bay, WI