Series 27: FINRA Member Supervisory Responsibilities

Taken from our Series 27 Online Guide

FINRA Member Supervisory Responsibilities

The Exchange Act of 1934 empowers the SEC to take punitive action against any FINRA member that has willfully violated securities laws or failed to supervise an employee who violated securities law. The Act goes on to say, however, that supervisors who have p

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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 ;)

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Joseph Shapiro, Edward Jones Investments, St. Louis, MO

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John Canney, Municipal Advisors Group Boston, MA