Series 27: Disciplined Firm

Taken from our Series 27 - Financial and Operations Principal Qualification Examination

Definition of the term Disciplined Firm...

a firm that has been expelled from membership in any self-regulatory organization or is subject to an SEC order revoking its registration as a broker-dealer or futures commission merchant.

+ Read More

More Series 27 Info

What are people saying?

Create an Account

We have an excellent Audiobook for the Series 27!

Since you're reading about Series 27: Disciplined Firm, you might also be interested in:

Series 24 - spinning

Series 79 - current asset

Series 24 - Suspicious Activity Report (SAR)

Series 66 - rebalancing

Series 7 - money market funds

Series 66 - growth investing

Series 82 - fiscal policy

Series 65 - Trade Reporting Facility (TRF)

Series 3 - price convergence

Series 27 - arbitrage

Series 99 - buy stop orders

Series 6 - Savings Incentive Match PLan for Employees (SIMPLE) plan

Series 6 - pass-through security

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 passed my 27 and I can't thank you enough for the preparation materials, most importantly the Final Exams. I studied for weeks for this test and buckled down the last two weeks of 6 hour study days. It's a great feeling and I couldn't have done it without you!!!

Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

Your Series 79 book was great and your practice questions were spot-on. I passed the first time. Thanks!

Stephen Hsu, Los Angeles, CA

I have taken and passed the SIE, Series 7, and Series 66 using this amazing Solomon study program. Each time, I felt prepared for the exam and confident in my answers. Solomon's study structure and varying mediums of study make it interactive and easy to learn.. It's an amazing deal for the tools received. I would highly recommend this program!

Abbigayle Hanoch, LPL Financial. Ventura, NM

Thank you, Jeremy, and the Solomon Exam Prep team for your tremendous support - just passed Series 82 on my first try. Jeremy - your magnificent support was invaluable - right from the random "cold" query, via your website, in December down to the personalised care and coaching I received during my prep. Couldn't have nailed this without you & the team.

Shilpa Mathai, Applied Capital, Indianapolis IN

Passed the SIE on the first try. Solomon Exam Prep is definitely the way to go. Just follow your study guide. The practice exams are where Solomon truly shines. I will certainly be using Solomon for the Series 7.

Brandon Collins, Benchmark. Memphis, TN