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

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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

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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

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Ciarra DiPiazza, CB Financial Services, Tacoma, WA

I passed the Series 65 this afternoon! Your online test simulation was terrific. Thanks so much!

David G., San Francisco, CA

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Series 28: Replacement Of Accountant

Taken from our Series 28 Online Guide

Replacement of Accountant

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