Series 27: Change Of Exempt Status

Taken from our Series 27 Online Guide

Change of Exempt Status

A FINRA member that is exempt from the financial restrictions of the customer protection rule generally may not change its method of doing business in a manner that will change its exempt status. Member firms cannot change their exempt status as dealers of redeemable investment company securities or introducing broker-dealers to brokers of redeemable investment company securities wi

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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

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