Series 28: FINRA Financial Reporting Rules

Taken from our Series 28 Online Guide

FINRA Financial Reporting Rules

At this point, you might think a broker-dealer would be done with recordkeeping and reporting—but you’d be wrong. Like the SEC, FINRA also wants to know about the financial integrity of its member firms. Consequently, it imposes its own recordkeeping and reporting requirements.

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: FINRA Financial Reporting Rules, you might also be interested in:

Series 63 - Advertising

Series 14 - 4.1.3.7. Aggregate Indebtedness

Series 52 - 3.2.1.2. Continuing Disclosure Agreement

Series 79 - Chapter 2 Practice Questions

Series 27 - Introduction

Series 7 - 1.2.2.7 Preemptive Right

Series 53 - Rule G-9—Retention Periods for Books and Records

Series 53 - Fair Dealing

Series 53 - Chapter 6 Practice Question Answers

Series 66 - 9.1.6.2 Code of Ethics and Access Persons

Series 65 - 4.2 Options Strategies

Series 79 - Tax-Free Reorganization

SIE - 3.7. Face-Amount Certificate Companies

Series 82 - Chapter 4 Practice Question Answers

Series 79 - 1.2.2.5. Example Income Statements

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 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

After a lengthy absence from the securities industry, I again needed to get licensed. With the great help of Solomon, I did the SIE, Series 7, Series 63, and Series 82, in just over 5 months. The materials are comprehensive and I would recommend reading it all at least twice. Have realistic goals and meet them. Don't take too many days off as the quicker you learn the material the less likely your are to forget the initial stuff. I found the "Ask the Professor" feature to be particularly helpful (and responsive!). I hope I don't need further exams any time soon but, if I do, I will use Solomon.

Shawn Sullivan Charlestowne Securities Darien, CT

I've used the Solomon exam prep materials for both my SIE and Series 6 exams and passed both on the first try! The audio materials are a lifesaver and a great resource to utilize, especially while driving. Also, your team is fantastic! I reached out through the "Ask the Professor" option while studying for the SIE and the response and additional help was exactly what I needed. I highly recommend Solomon! Thanks again!

Kristina Ribali, Modern Woodmen Fraternal Financial. Naples, FL

Stick to the plan and pass! 4 times in a row, 7, 63, 24 and now 79. You can't beat the Solomon materials.

Eric Altmann