Series 27: Risk Assessment Reporting Requirements

Taken from our Series 27 Online Guide

Risk Assessment Reporting Requirements

But wait—there’s more. There must be records of the records!

In order to demonstrate that it is meeting all the above recordkeeping requirements, each broker-dealer must provide the SEC with a Form 17-H within 60 calendar days after the end of each fiscal

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Risk Assessment Reporting Requirements, you might also be interested in:

Series 27 - Chapter 2 Practice Question Answers

Series 7 - 14.3. Types of Account Authorizations

Series 66 - Cash Flow/Income Statement

Series 65 - 3.7.4.2. Death Benefit

Series 66 - 4.4.1. Strategic Asset Allocation

Series 7 - 17.3.1.2. Dark Pools

SIE - 4.1.1. Simple Options: Puts and Calls

Series 7 - 5.7 Taxation of Options

Series 66 - Annual Report

Series 6 - 6.2.7.2. Payout Options (Settlement Options)

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

The Solomon Prep Course for Series 79 was great! I studied for 12 days, read through the outline and took 15 of the 1/2 exams and a few quizzes, and scored an 82. Thanks very much - I highly recommend Solomon Exam Prep!

Randy Conone, Hudson Capital Advisors, Santa Monica, CA

I passed the Series 24 on the first try with an 80%! This was the highest of all of my Series exam scores and I attribute much of my success to Solomon's amazing study materials. The practice exams are spot-on and the video lectures were a great supplement to the readings. I suggest following the study schedule Solomon provides for a successful outcome!

Katelyn H, Las Vegas, NV

I just passed the FINRA Series 79 exam!! I only used Solomon Exam Prep. I recognized the material that came up during the exam and felt comfortable all the way through!! That you all for your help!!

Walter Whitehead FNEX Capital. Los Angeles, CA