Series 27: Limitations On Withdrawal Of Equity Capital

Taken from our Series 27 Online Guide

Limitations on Withdrawal of Equity Capital

The SEC restricts the withdrawal of equity capital if it will exceed certain limits. This withdrawal of funds may not exceed an amount that would cause:

• The broker-dealer’s net capital to fall below 120% of its required net capital
• The broker-dealer’s net capital to be less than 25% of haircut deductions (except with the SEC’s prior approval)
• The broker-dealer’s, subs

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Limitations On Withdrawal Of Equity Capital, you might also be interested in:

Series 22 - 1.1.3.2.2.3. General Partners’ Compensation

Series 54 - 3.2.5.2. Ban on Business

Series 24 - Review Quiz

Series 63 - Rescission

Series 51 - Municipal Fund Securities Record Maintenance

Series 50 - Important Percentages for Chapter Five

Series 28 - Deficiency Notices and Reports

Series 65 - Mutual Fund Shares (A, B, and C shares)

Series 7 - 18.4.1.4. Formal Hearings

Series 79 - Management Fee

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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 utilized a competitor's product and failed the first time I took the Series 53. It wasn't from the lack of studying. After researching what other courses to buy, I luckily found Solomon. The exam material was up to date and the practice exams were much more challenging than the other program. I would highly recommend Solomon and plan on utilizing them if I should have to take another exam. Thank you.

Andrew Shubert, Craft Capital Management, Garden City, NY

Passed the Series 79, was really difficult but the materials prepared me well. Was passing the practice exams with mid 80's to high 90's the last two days. Highly recommend using Solomon.

Natasha Trilli, Ocean Park. Houston, TX

I took 2500+ questions in your simulator and I passed the Series 63 on my first attempt. Your practice exams are fantastic!!!!!

Pavel Jezek, Denver, CO

I just want to thank Solomon Exam Prep for a great semester! We taught this curriculum at Widener University for the first time. The Solomon team was great to work with! Always available, very responsive and eager to help. The online offering is very comprehensive and we didn't miss a beat when we switched to remote learning. The QwizBang game was a big hit with the students (although more fun when we were all in the same room.) I can't thank them enough for all that they have done.

Maggie Creed, Widener University, Chester, PA