Series 27: Net Capital

Taken from our Series 27 Online Guide

Net Capital

Every broker-dealer whose net capital declines below the minimum amount required by the net capital rule, or that becomes insolvent, must notify the SEC and FINRA of the deficiency that same day. The notice must specify the broker-dealer’s net capital requirement, as well as its current amount of net capital.

If FINRA or the SEC inform a broke

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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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