Series 28 — Introducing Broker-Dealer Financial and Operations Principal Qualification Examination
The FINRA Introducing Broker-Dealer Financial and Operations Principal Qualification Exam (Series 28) qualifies you to prepare and maintain the books and records for specific member firms. With the Series 28, you may register as an Operations Professional without having to pass the Series 99. Note that the Series 28 does not qualify you to be a Financial and Operations Principal for member firms that have a net capital requirement of at least $250,000 or municipal dealers with a net capital requirement of $150,000 (this requires the Series 27). There are no prerequisites, but to take the Series 28 exam, you must be employed and sponsored by a FINRA-member firm. Read more Series 28 FAQs.
Solomon Exam Prep’s innovative study system has helped thousands pass their securities exams. Explore Solomon’s Series 28 study materials below and get started on your path to becoming a Broker-Dealer Financial and Operations Principal!
QUICK LOOK:
- RECOMMENDED STUDY TIME: 80-100 hours
- EXAM LENGTH: 95 questions
- EXAM TIME: 2 hours
- PASSING SCORE: 69%
- TAKING EXAM: Testing is done via Prometric
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MATERIALS
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The Solomon Series 28 Study Guide, written in clear easy-to-understand language, contains the information you need to know to pass your exam. Comprehensive and continually updated, the Solomon Series 28 Study Guide has helped thousands pass their exam. The Study Guide contains charts, graphs and practice questions, as well as a glossary of key terms.
To see a sample of the online Study Guide, click here.
The Solomon Series 28 Study Guide, written in clear easy-to-understand language, contains the information you need to know to pass your exam. Comprehensive and continually updated, the Solomon Series 28 Study Guide has helped thousands pass their exam. The Study Guide contains charts, graphs and practice questions, as well as a glossary of key terms.
The Study Guide is available in your online Solomon account (this digital guide requires Internet connection and is not downloadable).
To see a sample of the online Study Guide, click here.
If you'd like a physical book, a hard copy upgrade is available (shipping & handling will apply) that contains the same content as the online version in your Solomon account.
To see a sample of the hard copy Study Guide, click here.
Please note: This sample of the hard copy is in PDF form to show the look of the hard copy only, but Solomon Study Guides are not available as PDFs.
Designed to work with the Solomon Series 28 Study Guide, the Solomon Series 28 Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned.
Sample a free demo of our Series 28 Online Exam Simulator here!
Designed to work with the Solomon Series 28 Study Guide, the Solomon Series 28 Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned.
The 180-day subscription to the Solomon Series 28 Exam Simulator offers:
• Over 1,300 original Series 28 practice questions with robust rationales which clearly explain why a specific answer is correct
• Questions updated continually to keep up with regulatory and industry changes
• Self-assessment tools that helps you identify areas that require more study
• An unlimited number of 20-question quizzes based on chapters of the study guide
• An unlimited number of 95-question untimed practice exams with immediate answer feedback
• An unlimited number of 95-question timed practice exams
Exam simulator subscriptions are limited to one individual.Sample a free demo of our Series 28 Online Exam Simulator here!
The Solomon Series 28 Video Lecture highlights the most important and heavily-tested exam topics. Join the Solomon Professors as they review the need-to-know information in this clear, easy-to-understand, training course. This 6.4-hour recorded course walks you through the most critical Series 28 concepts.
The Solomon Series 28 Video Lecture highlights the most important and heavily-tested exam topics. Join the Solomon Professors as they review the need-to-know information in this clear, easy-to-understand, training course. This 6.4-hour recorded course walks you through the most critical Series 28 concepts.
Lectures are peppered with practice questions to help you use what you are learning.
The Series 28 Video Lecture is available through the Solomon website and can be accessed via computer or mobile device. Video lecture subscriptions are for 180 days.
If you like to listen, the Solomon Series 28 Audiobook offers you the perfect way to study for your exam while you’re commuting, working out or doing the dishes! The Solomon Series 28 Audiobook is a 9.7-hour audio recording of the Solomon Series 28 Study Guide. The guide is written in clear easy-to-understand language and contains the information you need to know to pass your exam.
To listen to a sample click here.
If you like to listen, the Solomon Series 28 Audiobook offers you the perfect way to study for your exam while you’re commuting, working out or doing the dishes! The Solomon Series 28 Audiobook is a 9.7-hour audio recording of the Solomon Series 28 Study Guide. The guide is written in clear easy-to-understand language and contains the information you need to know to pass your exam.
The Solomon Series 28 Audiobook is a verbatim reading of The Solomon Exam Prep Guide to the Series 28 FINRA Introducing Broker-Dealer Financial and Operations Principal Qualification Examination.
The Series 28 audiobook is a great companion to the Series 28 Online Exam Simulator, the industry-leading online testing program that ensures you are learning and retaining the information.
Available in the following formats:
- Streaming Audio + Instant MP3 download
The MP3 files are compatible with all major MP3 players, including but not limited to:iPods, iTunes, Zune, Sony, MP3 CD Players, MP3 Walkman, Windows Media Player and QuickTime.
(Note for iPod, iPhone, and iPad users: MP3 files must be downloaded to a computer and added to iTunes before being transferred to your device.)
To listen to a sample click here.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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What does a Series 28 license allow me to do?
The Series 28 qualifies you to become an Introducing Broker/Dealer Financial and Operations Principal. This is an individual who is responsible for correctly preparing and maintaining the books and records for specific member firms. Passing the Series 28 exam demonstrates that you adequately understand how to prepare and maintain the books and records of your firm in compliance with securities laws and regulations.
Once you have passed your Series 28, you will be eligible to register as an Operations Professional, without having to pass your Series 99.
Note that the Series 28 does not qualify you to be a Financial and Operations Principal for member firms that have a net capital requirement of at least $250,000 or municipal dealers who have a net capital requirement of $150,000. The books and records for these kinds of firms must be prepared by someone who holds a Series 27.
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What subjects does the Series 28 exam test?
- Keeping and Preservation of Records and Broker-Dealer Financial Reporting Requirements – 17%
- Net Capital Requirements – 38%
- Customer Protection – 11%
- Uniform Practice Rules – 5%
- Other Relevant Regulations and Interpretations – 29%
See the FINRA Series 28 Study Outline for more details.
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Are there any prerequisites for the Series 28 exam?
There are no prerequisites to take the Series 28 exam.
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How long should I prepare for the Series 28 exam?
We recommend studying 80-100 hours over a four-week period.
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STUDY GUIDE
EXAM SIMULATOR
| Number of Questions | 10 |
| Time Duration | Untimed |
| Answer Feedback Instant validation and rationale |
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| Percentage required to pass | 69% |
AUDIOBOOK
| Track | Title | Bookmark | Length | Download | |
|---|---|---|---|---|---|
| 3 | Introduction | 0:00 | 9:19 | ||
| 10 | Section Two | 0:00 | 20:11 |
VIDEO LECTURE
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