Series 28: Oath Or Affirmation

Taken from our Series 28 Online Guide

Oath or Affirmation

A broker-dealer must attach to the financial report an oath or affirmation that, to the best of its knowledge and belief, the financial report is true and correct and the firm has no proprietary interest in any customer account. The oath or affirmation must be made before a person duly authorized to administer such oaths. The oath must be made by the proprietor, general partner, or duly authorized officer of the firm.

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