Series 28: Order Memorandum

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

Definition of the term Order Memorandum...

a record of every securities order, order execution and trade confirmation, required by the SEC for all member firms. The memorandum must show: each order’s terms and conditions, the account for which it was entered, the time it was received and entered, its execution price, and the time of execution or cancellation.

+ Read More

More Series 28 Info

What are people saying?

Create an Account

We have an excellent Audiobook for the Series 28!

Since you're reading about Series 28: Order Memorandum, you might also be interested in:

Series 66 - incorporation by reference

Series 99 - zero coupon bond

Series 65 - brochure rule

Series 7 - Z-tranche

Series 79 - stock purchase

SIE - arbitrage

Series 82 - aggregation

Series 79 - managing underwriter

Series 63 - FTC Red Flags Rule

Series 66 - refunding

SIE - buy stop orders

Series 7 - Roth IRA

Series 24 - Eastern account

Series 7 - Bond Buyer, The

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

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.

I just passed the Series 63 and Series 6. I only have Solomon staff and exam prep material to thank. This has been a very challenging experience. Please do yourself a favor and buy Solomon Exam Prep materials. It's made me a believer and you will not regret it!

Dwight Lee, FFS, Los Angeles, CA, Series 6 and 63

Five decades in the muni business didn't guarantee I'd pass the Series 50 pilot exam. (Just knowing content doesn’t mean you are ready for the test.) Thankfully, my Solomon Exam Prep materials were fantastic at teaching complex subject matter in a way that made the answers clear, and I passed the test with ease.

If you plan to take the Series 50 exam, then I strongly recommend that you give yourself the edge that Solomon's study materials provide.

John Canney, Municipal Advisors Group Boston, MA