Series 28: Replacement Of Accountant

Taken from our Series 28 Online Guide

Replacement of Accountant

Whenever the relationship between a broker-dealer and its independent public accountant is terminated—for any reason and by either party—the broker-dealer must notify the SEC and FINRA within 15 days of the change. The notification must include the independent public accountant’s engagement and termination date.

The notification must also detail any issues arising during the previous 24 months—anything related to accounting practices, financial statement disclosures, auditing scope or proce

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Replacement Of Accountant, you might also be interested in:

Series 28 - SIC Notification Requirements

Series 53 - Municipal Advisor Records

Series 26 - Chief Compliance Officer and Compliance Certification

Series 65 - Suitability

Series 99 - Exercise

Series 52 - 1.4. Other Types of Municipal Bonds

Series 3 - 3.1. Foreign Exchange Futures

Series 7 - 15.6 Cash Settlement and Delivery of Securities

Series 65 - 4.1.2 Long Call

Series 24 - Locking In

Series 79 - 13.1.1. Commencing the Tender Offer

Series 28 - Communications Filing and Recordkeeping

Series 65 - 2.16.3. Valuing Equity Securities

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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 passed the Series 26 today with a score of 82%. Your exam simulator helped tremendously.

Ray Pecharich, Primerica, Sarasota, Florida

I used Solomon to study for the 26 and most recently the 24. The material is layered in way that makes it manageable to digest and the instructor response time and explanations are outstanding. I passed both on the first attempt!

Gus Velleco, Allstate, Charleston, SC

Five decades in the muni business didn't guarantee I'd pass the Series 50 pilot exam. (Just knowing content doesn’t mean you are ready for the test.) Thankfully, my Solomon Exam Prep materials were fantastic at teaching complex subject matter in a way that made the answers clear, and I passed the test with ease.

If you plan to take the Series 50 exam, then I strongly recommend that you give yourself the edge that Solomon's study materials provide.

John Canney, Municipal Advisors Group Boston, MA