Series 27: Contract Execution

Taken from our Series 27 Online Guide

Contract Execution

Carrying agreements cannot go into effect until the carrying firm submits the agreement to FINRA and secures its approval. As early as possible, but not later than 10 business days before carrying any accounts of new introducing firms, the carrying firm must submit a notice to FINRA identifying each introducing firm by name and its CRD number.

When an introducing firm offers the clearing services of its carrying firm to another intr

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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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