Series 27: Independent Public Accountant Exemptions

Taken from our Series 27 Online Guide

Independent Public Accountant Exemptions

A member firm is not required to engage an independent public accountant to provide annual reports if, since the date of the broker-dealer’s registration or since the previous annual reports were filed, the broker-dealer has solely been engaged as agent for a securities issuer. In other words, a firm is exempt if it has:

• Never held any

+ Read More

More Series 27 Info

What are people saying?

Create an Account

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

Series 26 - Non-Cash Compensation

Series 26 - Review Standards for Annual Internal Inspection

Series 53 - Assignment of CUSIP Numbers by Underwriters

Series 24 - Non-Cash Compensation

Series 27 - Selling to Restricted Persons

Series 66 - 4.2 Client Profiles

Series 24 - Riskless Principal Transactions

Series 53 - Contributors

Series 66 - Withdrawing from a Traditional IRA

Series 53 - ARS Reporting Requirements

Series 24 - Regulation M, Rule 104– Stabilizing Bids and Other Activities

Series 24 - 4.1.12.4. Unlawful Representations

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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. Your Series 99 exam prep class was spot-on. Thanks!

Kathy Stanfield, P.J. Robb Variable Corp., Memphis, TN

I took my Series 24 on July 28 and passed!! I had not passed 2 prior Series 24 exams and was down to my last attempt. A fellow principal on my team who had not passed his Series 24 his first time told me about the Solomon practice tests and how they helped him. It was such a big help for me passing exam as the questions were structured more like the real exam than any other practice tests I’ve taken. I have since gone to other employees at my firm for other tests, such as the Series 7, SIE among others and have told them about the Solomon test materials and some of them are now purchasing Solomon as well.

Thadius Beavers, Prospera Financial. Dallas, TX.

I used Solomon to study for the Series 82. The material was spot on! More importantly, the practice tests and timed tests were much harder than the actual Series 82, which was very helpful in passing the test. Thanks!!

Rhett Grimes, Anchortree Capital. Nashville, TN

The virtual class and the test questions really helped me pass the Series 26. Thank you.

Todd Brubaker, Western & Southern Life, Akron, OH