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 24 - 5.6.5.3. Order Routing

Series 66 - 4.1.3.3. Other Custodial Accounts

Series 99 - 2.5.5 Exchange of Securities

Series 79 - Hedge Funds

Series 24 - Prospectus

Series 7 - 3.2.3.3.2. Variable-Rate Securities

Series 65 - 3.8.2 Whole Life Insurance

Series 26 - Suitability

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 used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

This is my fourth time using Solomon's exam materials (Series 99, 7, 63, and now the 24)....and I PASSED once again on my first try. Thank you Solomon- your exam question simulator was extremely helpful!

Kim Schmidt, Elmcore Securities, Las Vegas

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

Solomon has been the gold standard for our team for studying and passing! The information was presented clearly and everyday language. I did take the series 6 twice, due to testing anxiety, but I passed the 6 with 73%. I took my 63 one month later, and passed with 82% !!

Ciarra DiPiazza, CB Financial Services, Tacoma, WA