Series 27: Withdrawal Of Equity Capital

Taken from our Series 27 Online Guide

Withdrawal of Equity Capital

Broker-dealers may not withdraw more than $500,000 of the firm’s equity capital during a 30-day period without notifying the SEC. This includes advances or loans to employees, partners, stockholders, and affiliates of the fir

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Withdrawal Of Equity Capital, you might also be interested in:

Series 26 - Additional Fees

SIE - Form U5 and Termination of Service

Series 82 - Taxing Cash Dividends

Series 63 - Chapter 4:

Series 66 - 2.4.12.2 Subordinated Debentures

Series 14 - 6.1. The Underwriting Process and Requirements for Registered Offerings

Series 7 - 3.2.4.1. Anticipation Notes

Series 24 - 3.6.9. Investment Company Advertisements and Sales Literature

Series 65 - 2.1.1.3. Right to Receive Dividends

SIE - 3.9.2.8. Federal Regulations Regarding Variable Annuities

Series 79 - Review of Transaction Structures and Issues to Consider

Series 28 - Recordkeeping Format

Series 82 - 3.2.2.4.1. Maturity

Series 79 - Demand and Piggyback Registration

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

Dear Solomon Exam Prep, Thank you for your great exam prep materials for the Series 82 Top-Off Exam...I recently took it and passed.

Mordechai Slovin, Palladium Capital Advisors, Israel

Fantastic study materials. The practice test questions were close to the exam questions and I was not surprised when I took my exam. I would recommend Solomon to anyone studying for their 6.

Wendy Clark, MetLife, Charlotte, NC

My third exam passed with Solomon, first the Series 6 and the Series 63, this time the Series 65 - just passed today! Highly recommend for any exam prep you need! Thank you again guys!

Brad Eiden, Nationwide Advisory, Louisville, KY

Just passed the Series 24 on my first attempt. Not an easy exam so put the time in. I used the Video Lectures and the Exam Simulator from Solomon. Great resources of information!

Shawn McClain, Natixis, Charlotte NC