Series 27: Delivery Of Securities

Taken from our Series 27 Online Guide

Delivery of Securities

The customer retains the right to receive the physical delivery of certificates on demand for its fully paid securities and for its margin securities upon full payment of its indebtedness to the broker-dealer. The customer also may retain excess margin securities not reasonably required by the broker-dealer to collateralize the customer’s indebtedness.

SEC Rule 15c3-3(l)

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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 ;)

Nikita Brown, BMI. Atlanta, GA

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