Series 27: Exemptions

Taken from our Series 27 Online Guide

Exemptions

Broker-dealers whose business activities are limited with respect to handling their customers’ funds and securities are exempt from the financial restrictions of the customer protection rule.

The following are exempt:

• Introducing brokers that promptly transmit all funds and securities to their clearing broker on a fully disclosed basis.
• Broker-dealers whose only transactions involve registered investment companies or interests in an insurance company’s separate account.

+ Read More

More Series 27 Info

What are people saying?

Create an Account

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

Series 24 - The Syndicate

Series 66 - Risk-Adjusted Return

Series 52 - Control Relationships

Series 82 - Premium Bonds

Series 63 - 4.4.1.2 Types of Client Accounts

Series 24 - Supervisory Control Procedures

Series 7 - 6.1.7 Taxation of Mutual Funds

Series 53 - Called Bonds

Series 63 - Blanket Recommendations

Series 24 - Investment Adviser Registration

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

The Solomon practice quizzes and exams provided an excellent simulation for the Series 7 exam. I highly recommend. Passed on the first try!

Justin Wiles, GW & Wade, Palo Alto, CA

I utilized the Solomon SIE and Series 6 Top-Off study guide package. I passed on the first time by following the exact recommendations. While the test is different than the study exam questions it covers the content in a detailed way preparing you to successfully pass the exam. Great product and customer service!

Michael Gehrich, Allstate Insurance, Ft Myers, FL

I was using a different study program and failed my exam. Once I enrolled in Solomon’s program I not only passed, but improved by over 20%. The practice exams were very close to the language on the FINRA exams.

Ryan P., Frederick, MD

I passed the Series 63 with the help of the Solomon materials. I loved the audio books and the quiz and test questions were extremely helpful. Thank you Solomon!

Diane Kotil, Quasar Distributors, Milwaukee, WI

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 27: Exemptions

Taken from our Series 27 Online Guide

Exemptions

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

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →