Series 28: Introducing Brokers: Fully Disclosed

Taken from our Series 28 Online Guide

Introducing Brokers: Fully Disclosed

Broker-dealers that introduce their accounts to a clearing firm on a fully disclosed basis must maintain net capital of not less than $50,000. Introducing broker-dealers may receive but cannot hold customer or other broker-dealer securities. They may also participate in a firm commitment underwriting but may not commit to purchase its shares.

SEC Rule 15c3-1(a)(2)(iv)

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I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

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