Series 27: Business Continuity Plan

Taken from our Series 27 Online Guide

Business Continuity Plan

Member firms must create and maintain a business continuity plan identifying procedures that must be followed in an emergency or business disruption. This plan does not need to be filed with FINRA, but it must be available upon request and maintained at a secure, off-site facility. The plan must be approved by a Series 24 Principal, who is also responsible for updating and reviewing it annually.

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Business Continuity Plan, you might also be interested in:

Series 53 - Types of Municipal Bonds

Series 14 - 8.2. Customer Screening and Other Account Documentation

Series 66 - Insider Trading

Series 53 - Rollovers

Series 66 - 1.1.5.6 Profit Margins

Series 27 - Long Positions in Margin Accounts

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 haven't taken an exam in about 15 years and I'm happy to report that I passed the Series 50 Municipal Advisor exam on my first attempt. The material was extremely thorough and comprehensive. The online questions, quizzes and exams were very comparable in difficulty to the actual exam, thus providing the foundation for my success. Thank you for your guidance.

J. Mark Chapman, IBIC LLC, Madison, CT

When I first signed up for the SIE I was overwhelmed. The topic range was so broad. I began studying the study guide and listened to the audiobook. I also watched the video lectures. The information began to sink in. What really put me over the top was when I signed up for and attended the live class. Our instructor, JD Page, helped me to remember the most important pieces of information for the test. He not only gave us facts, but the reasons behind the facts. It really helped to cement the material into my mind. When I went in for the SIE Exam, I was able to move through the questions quickly and even had enough time to go through every question again. Thank you Solomon Test Prep!

Jason Vreeke CoreCap Investments LLC High Point, NC

The Series 79 study materials were fantastic. Thank you!

Cecilia Shea, CPA, Palo Alto, CA

After using other exam preps, I settled on Solomon. This material was spot on! If you follow the study guides, read the chapters, watch the videos and listen to the audio, you will pass!! Good Luck! Thank you Solomon!

Celeste Gullo, Allstate Insurance, Glen Head, NY