Series 27: Use Of Proprietary Information

Taken from our Series 27 Online Guide

Use of Proprietary Information

When broker-dealers act in a fiduciary capacity, they often receive access to confidential, nonpublic information about the ownership of their customers’ securities. Broker-dealers may not use this information for financial gain or to solicit sales of securities, except with the issuer’s consent.

FINRA Rule 2060

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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

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I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

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