Series 27: Investigations

Taken from our Series 27 Online Guide

Investigations

FINRA staff has the right to require that member firms and their associated persons provide information and testify under oath on any matter involving an investigation, complaint, examination, or proceeding. FINRA staff also has the right to inspect and copy on demand their books, records, and acco

+ Read More

More Series 27 Info

What are people saying?

Create an Account

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

Series 65 - State Authority over Federal Covered Securities

Series 51 - Obligations of Municipal Underwriters

Series 51 - Yield to Put

SIE - Speculating: Taking Advantage of Leverage

Series 3 - 7.3.7.1. Fraudulent Transactions

Series 63 - Performance Guarantees

Series 65 - Tax-Free Municipal Anticipation Notes

Series 7 - 14.8.4. Four-Year Records

Series 65 - 1.4.3.5 Schedule 13D

Series 63 - Notice Filings

Series 24 - Savings Incentive Match Plan for Employees (SIMPLE) IRA Plans

Series 52 - 9.2.7.1. Close-Out by Purchaser

Series 27 - Understanding a Dividend Distribution

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 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

Thank you, Jeremy, and the Solomon Exam Prep team for your tremendous support - just passed Series 82 on my first try. Jeremy - your magnificent support was invaluable - right from the random "cold" query, via your website, in December down to the personalised care and coaching I received during my prep. Couldn't have nailed this without you & the team.

Shilpa Mathai, Applied Capital, Indianapolis IN

Thank you, Solomon! I passed the SIE and am now working on Series 7. Coming from a background outside of Wealth Management and Finance, I found this material very user friendly. I regularly used the iPhone app as well as the online material, followed the study guide and took A LOT of practice tests. I am grateful for the team at Solomon with a special call out to Madi B and Jeremy S who gave me additional support whenever I needed it. I look forward to the Series 7 content as I was very impressed with the SIE content.

Jeremy Johnson, RBC Wealth Management. Green Bay, WI

After failing the Securities Industry Essentials Exam twice I was all but ready to give up. Then I used Solomon Exam Prep material which help me to pass the exam. I had a blast using their learning platform and would highly recommend it to anyone!

Innocent Anavberokhai Jr., Lawrence, KS

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX