Series 27: Introducing Brokers: Fully Disclosed

Taken from our Series 27 Online Guide

Introducing Brokers: Fully Disclosed

Broker-dealers that introduce their accounts to a clearing firm on a fully disclosed basis must maintain net capital of not less than $50,000. Introducing broker-dealers may receive but cannot hold customer or other broker-dealer securities. They may also participate in a firm commitment underwriting but may not commit to purchase its shares.

SEC Rule 15c3-1(a)(2)(iv)

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Introducing Brokers: Fully Disclosed, you might also be interested in:

Series 6 - 4.1.2.2. Liquidation

Series 6 - 5.1.7.2. Capital Gains on the Sale of Mutual Fund Shares

Series 24 - 5.1. Types of Equity Securities

Series 3 - 3.2. Stock Index Futures

Series 66 - 3.1.2.5. Index Funds

Series 14 - 4.1.1.4. Non-Allowable Assets

Series 53 - 4.2.4.1. Disclosure Standards

Series 6 - 7.2.1.3. Implications of the CAPM

Series 7 - 16.2. Non-Qualified Employer-Sponsored Plans

Series 50 - Payments to Bondholders

Series 63 - Commissions

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

I passed my 27 and I can't thank you enough for the preparation materials, most importantly the Final Exams. I studied for weeks for this test and buckled down the last two weeks of 6 hour study days. It's a great feeling and I couldn't have done it without you!!!

Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

I came into my studies with very little experience. With the amazing help and support from the Solomon Team I passed the SIE on my first attempt. I am extremely grateful for the study material that Solomon has provided. I am onto the 7 TO.

Wc Harbert, RBC. Eugene, OR

I would not have passed the Series 7 top off without the Solomon materials. The structure of the questions was the closest out of all the programs I tried and their customer support is top notch. I will definitely be back! Thank you!!

Lauren J, Westlake, TX

I passed my Series 65 today with an 80, first effort! Not only was the material well laid out, but if it's possible, the Solomon prep made the material palatable and understandable. Amazing!!! I have used Kaplan in the past as well as STC, which are both very good, but I chose Solomon because it had audio downloads. With an hour commute, I was able to study during that otherwise wasted time.

Additionally, the "Ask the Professor" and live chat features were excellent!! Questions were answered virtually immediately by personal email from author/owner Jeremy Solomon and he actually called me to help me and cheer me on! I didn't think this kind of customer service and general human kindness existed anymore. He even asked me to let him know personally my results which, thanks to this program, I am on the other side of this very difficult exam.

Thank you Solomon Exam Prep!!!!!

Carol Gallagher, TIAA, Syracuse, New York

I passed the Series 65 with a 92% thanks to the Solomon practice exams. The questions on the practice exams were very similar to what I actually encountered on the actual exam, and the ability to take unlimited practice exams really built my knowledge and confidence. I highly recommend this product to anyone studying for the Series 65.

Neal Thompson, Denver, CO, Series 65