Series 27: FINRA Financial Reporting Rules

Taken from our Series 27 Online Guide

FINRA Financial Reporting Rules

At this point, you might think a broker-dealer would be done with recordkeeping and reporting—but you’d be wrong. Like the SEC, FINRA also wants to know about the financial integrity of its member firms. Consequently, it imposes its own recordkeeping and reporting requirements.

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: FINRA Financial Reporting Rules, you might also be interested in:

Series 65 - 2.11.2. Treasury Notes and Bonds

Series 79 - Exercise

Series 14 - 2.3. Transacting Business on an Exchange

Series 53 - 5.1.1. Principal vs. Agency Transactions

Series 53 - Introduction

Series 24 - Answers

Series 65 - C.2 Prohibited Advertising Practices

Series 50 - Callable or Redeemable Bonds

Series 66 - Alpha

Series 7 - 6.1.6.2. Withdrawal Plans

Series 26 - Exercise

Series 65 - 10.10.6.5 Market Manipulation

SIE - The Securities Act of 1933

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

Solomon Exam Prep was great! I passed my Series 22 with their materials. I failed my first time taking the exam using the Securities Institute of America's material. I was completely shocked because I did well in all my practice exams. So, I did extra research and found Solomon Exam Prep. It was exactly like the FINRA outline which was perfect. Highly suggest Solomon Exam Prep for Series 22.

Becky Eriksson, Cabin Securities. Los Angeles, CA

I actually initially failed the Series 52 and was left frustrated with the previous exam prep course that I previously took. I took a look at many of your testimonials and thought I would take a chance on Solomon. I was not disappointed. I passed the Series 52 on the second go, and the test was a breeze due to the preparation of your Series 52 exam prep. I couldn't be happier with Solomon. Onward and upward!

Akio Ohtake-Gordon, Piper Sandler & Co. Lakewood, CO.

I'm not the best test taker. Solomon changed that. I was struggling on the quizzes and practice test. However, I passed the SIE on the first try. Took me less than one hour to complete. I felt very prepared.

Lamar Barnes, Washington D.C.

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 27: FINRA Financial Reporting Rules

Taken from our Series 27 Online Guide

FINRA Financial Reporting Rules

Since you're reading about Series 27: FINRA Financial Reporting Rules, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →