Series 28: Authority To Increase Capital Requirements

Taken from our Series 28 Online Guide

Authority to Increase Capital Requirements

When necessary for the protection of investors, FINRA may prescribe greater net capital or net worth requirements than those otherwise applicable with respect to any carrying or clearing firms. FINRA may demand a more stringent method for their computation, or a restoration or increase of a firm’s net capital or net worth.

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Authority To Increase Capital Requirements, you might also be interested in:

Series 63 - Termination of a Broker-Dealer’s Registration

Series 65 - 1.4.2.2.3. Consolidation

Series 50 - Moral Obligation Bonds

Series 66 - 3.7.3.3 Voting Rights

Series 50 - Documentation of Municipal Advisory Relationship

Series 7 - 5.3.3.5 Vertical and Horizontal Spreads

Series 65 - 10.10.1. Custody

Series 50 - Collateralized Mortgage Obligations

Series 27 - Subordinated Debt

Series 53 - 1.1.7.3. Enforcement Agencies

Series 28 - Subordination Agreements

Series 7 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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!!!

Nikita Brown, BMI. Atlanta, GA

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 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.

Gayle Espinosa. Los Angeles, CA

Your study material laid a great foundation in my understanding of the tested material and was instrumental in my passing the Series 50.

Steven Scharff, Springsted Incorporated, Saint Paul, MN

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

I took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

The unlimited question data bank was exactly what I was looking for and the searchable online guide was a bonus. As I was preparing, the online module allowed me to both understand why a particular answer was incorrect and then quickly cross reference the course material to ensure I understood other nuances as well around the subject matter.

I have made a recommendation to our compliance team to use Solomon and will to others as well.

Neil Kahrim Hernshed Partners New York, NY