Series 28: Securities Record

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Securities Record...

a record that gives information on the owner and physical location of every security held by the firm. It also includes the position (long or short) that each customer and the firm hold in a security.

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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!!!

Nikita Brown, BMI. Atlanta, GA

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Nikita Brown, BMI. Atlanta, GA

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