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 65 - Insurance Loans

Series 50 - Bond Refundings

Series 6 - Series 6 Frequently Asked Questions

Series 53 - 3.3.2. Sharing in Profits or Losses

Series 53 - Bond Repurchases

SIE - TIPS (Treasury Inflation-Protected Securities)

Series 66 - Exemptions from Federal Registration

Series 26 - FINRA Licensing Examination Waivers

Series 65 - Systematic Risks

Series 14 - 1.5.2. FINRA

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 took the Series 63 and passed on the 1st attempt. I have my degree in Exercise Science and had no previous finance training. I highly recommend the Solomon Exam Prep. Followed the recommended study plan and passed 8 practice tests. The practice exams prepared me for the actual test and I felt like the actual test was easier then the practice tests. Thank you Solomon!

Gary Kilanowski. Scottsdale, AZ

Thank you so much and special thanks to the product you put out!! I did not know about Solomon a year ago when I took the Series 7 and I used another company's material. I did not pass the 7 first time and I was extremely nervous about the 66. However your product was wonderful and thanks to you guys I passed the 66 on my first try!!! Can't thank you enough!!!

Maria Raspa, Merrill Lynch, Wellesley Hills, MA

Solomon's study materials and practice exam helped prepare me quickly and made me confident going into the SIE exam. I'm happy to have used their services and highly recommend their products for the SIE exam.

Kevin Ramani. Boston, MA

I paid for the best package (Series 63 Total Study Package), and it was well worth the money!! Would use it again!

Greg Hensley

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 →