Series 28: Limited Principal—Financial And Operations

Taken from our Series 28 Online Guide

Limited Principal—Financial and Operations

Member firms that carry customer accounts, that operate as municipal securities brokers’ brokers, or that use the alternative standard to calculate their net capital requirements can only have FINOPs who have qualified as a “Limited Principal—Financial and Operations.” This includes the chief financial officer. FINOPs must register as a Limited Principal—Financial and Operations and pass the Series 27 qualification examination before the registration can become effective.

The duties of a Limited Principal—Financial and Operations include:

• Final preparation, appro

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Limited Principal—Financial And Operations, you might also be interested in:

Series 66 - 9.5.1 When Financial Exploitation Is Suspected

Series 3 - Introduction

Series 53 - 6.3.3. Preservation of Books and Records

Series 24 - 3.3.1. Transfer and Ship

Series 53 - Availability of Written Procedures

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

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 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

After trying numerous study materials, Solomon was the key to pass my Series 24. The live class was a perfect complement. Thank you Karen for your assistance!

Marie, Miami, FL

Passed 53, Thanks for your help and study materials, study guide and exam simulators were excellent on test preparation for the Series 53. When one applies the time with your materials, a positive outcome can be achieved . Thanks too for answering my question/questions over the weekend.

Tim Milani, Barrington, IL