Series 28: Independent Public Accountant Exemptions

Taken from our Series 28 Online Guide

Independent Public Accountant Exemptions

A member firm is not required to engage an independent public accountant to provide annual reports if, since the date of the broker-dealer’s registration or since the previous annual reports were filed, the broker-dealer has solely been engaged as agent for a securities issuer. In other words, a firm is exempt if it has:

• Never held any

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Independent Public Accountant Exemptions, you might also be interested in:

Series 53 - Reporting Timelines

Series 24 - Exchange-Traded Funds (ETFs)

Series 79 - A.8.3.2. Cost Basis After a Stock Split

Series 65 - 10.4. Investment Advisory Contracts

Series 65 - Serial Payments

Series 6 - Function One

Series 63 - 4.7.3. Requirements for Broker-Dealers

Series 7 - 16.1.3.1 SEP Plans

Series 6 - 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

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

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

Thanks! I am thrilled. I took the Series 7 three years ago and have been putting off the Series 63 after I failed the first time. I used your book and iPhone app. I am recommending your materials to everyone in my office that needs to take the 63 in the near future. Of course you can use my email as a testimonial. Everything that people have said on the testimonials is 100% correct. The way the materials are written makes it much less of a chore to read and comprehend. Thanks for the follow up email!

Julia Smith, RBC Wealth Management

The materials for the SIE were very well organized and presented. The study guide is comprehensive and easy to understand. Beyond that what I found the most valuable were the practice exams particularly the detailed explanations after each set of answers. There are so many hidden gems in there be sure to scroll down so as not to miss that information. We done Solomon Prep!

Matthew Gould, GreyMan Management . Scottsdale, AZ.

I struggled with passing the Series 52 exam. I used study materials from Kaplan & STC Interactive. It wasn't until I used Solomon's materials that I was able to pass the exam.

Belinda Wilson, Stifel Nicolaus & Co, Montgomery, AL