Series 28: Regulation FD (Fair Disclosure)

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Regulation FD (Fair Disclosure)...

a set of 4 SEC rules that requires issuers which have disclosed material, non-public information to certain industry professionals or its own investors to immediately disclose that information to the general public.

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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.

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Nikita Brown, BMI. Atlanta, GA

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