Series 27: Business Restriction

Taken from our Series 27 Online Guide

Business Restriction

A government securities broker, at FINRA’s direction, may not expand its business during any period in which any of the following conditions continue to exist for more than 15 consecutive business days:

• The member firm’s liquid capital is less than 150% of its total haircuts

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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 ;)

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Series 27: Business Restriction

Taken from our Series 27 Online Guide

Business Restriction

Since you're reading about Series 27: Business Restriction, you might also be interested in:

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