Series 27: Exemptions And Special Provisions

Taken from our Series 27 Online Guide

Exemptions and Special Provisions

Broker-dealers that are exempt from the recordkeeping requirements are, of course, exempt from the reporting requirements. Again, these are introducing brokers that do not maintain capital in excess of $20,000,000, broker-dealers whose only transactions involve investment companies or insurance company se

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Exemptions And Special Provisions, you might also be interested in:

Series 6 - 2.1.1. Suitability

Series 24 - 2.7.2. Six-Year Records

Series 50 - Feasibility Study

Series 26 - Restrictions on Business Expansion

Series 6 - 1.3.1. Types of Public Communications

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 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

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

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

The Series 6 Exam Simulator was a life saver. Thanks!

Ryan Ainsworth, Northwestern Mutual, Tacoma, WA

I took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

The unlimited question data bank was exactly what I was looking for and the searchable online guide was a bonus. As I was preparing, the online module allowed me to both understand why a particular answer was incorrect and then quickly cross reference the course material to ensure I understood other nuances as well around the subject matter.

I have made a recommendation to our compliance team to use Solomon and will to others as well.

Neil Kahrim Hernshed Partners New York, NY

The Solomon Exam Prep Series helped me pass the Series 6 the first time. I used the 4 week time frame and it helped keep me on track to get the test completed when I wanted. I even received a phone call from Jeremy Solomon, the president of the company. He gave me pointers on how to study and prepare for the exam. I was also able to submit questions and get answers almost immediately. Thanks again.

Cathy Roeber, WoodmenLife, West Point, NE