Series 27: Introducing Brokers

Taken from our Series 27 Online Guide

Introducing Brokers

Broker-dealers that introduce their securities transactions on a fully disclosed basis are generally not required to make or keep records of their transactions. That responsibility belongs to their clearing broker, which must maintain net capital of not less than $250,000 and otherwise comply with the ne

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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 ;)

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Series 27: Introducing Brokers

Taken from our Series 27 Online Guide

Introducing Brokers

Since you're reading about Series 27: Introducing Brokers, you might also be interested in:

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