Series 7: 3.6.27 Rule G-27—Supervisory Procedures

Taken from our Series 7 Top-off Online Guide

3.6.27 Rule G-27—Supervisory Procedures

Broker-dealers must ensure that employees comply with MSRB and SEC rules. To achieve this result, firms must establish and maintain written procedures as a guide for employee behavior. Firms must also establish a supervisory system to oversee their compliance. Each

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Just passed the series 7 today! Solomon was a huge help, as I used the practice exams exclusively. When preparing for this exam, make sure to allocate ~70% of your time on compliance, opening accounts etc. Looking forward to passing the series 66. I will continue using Solomon!

Blake Rossman, True Wealth Financial Partners. Fircrest, WA

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