Series 28: Exemptions And Special Provisions

Taken from our Series 28 Online Guide

Exemptions and Special Provisions

Broker-dealers that are exempt from the recordkeeping requirements are, of course, exempt from the reporting requirements. Again, these are introducing brokers that do not maintain capital in excess of $20,000,000, broker-dealers whose only transactions involve investment companies or insurance company se

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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!!!

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