Series 27: SIPC Authority

Taken from our Series 27 Online Guide

SIPC Authority

The Securities Investor Protection Corporation has no authority to combat investment fraud or to investigate or regulate its members. It has the narrower focus of overseeing the liquidation of member firms that close due to bankruptcy or financial trouble.

When a self-regulatory organization or the SEC becomes aware that a broker-dealer is in financial difficulty, it must notify SIPC. In the case of an imminent danger of member failure, SIPC m

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: SIPC Authority, you might also be interested in:

Series 51 - Rule G-13—Published Municipal Securities Quotations Must Be Firm

Series 26 - Managing Investor Risk

Series 53 - 4.2.2.2. Pricing by Competitive Bid

SIE - Tax Basis on Shares After a Stock Split

Series 7 - 12.5.4 New Issue Rule

Series 50 - Registration

Series 65 - Chapter One: Economic Factors and Business Information

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

I used Solomon Exam Prep for both the 6 and the 63 and passed both of them on the first try. For the Series 6 I scored a 92 and for the Series 63 I scored a 75. The book was very insightful and helped quite a bit with passing, so thank you to your company.

Austin Kurey, Denver, CO

I'd utilized a competitor last year while attempting to retrieve my Series 7 license. I attempted three times using their material but resulted in failure. After using Solomon I passed my SIE with no issue and decided to use Solomon again because I believed they provided the essential material to help you achieve. After using Solomon once again, I passed my Series 7 on the first try. I will be using them again to tame the beast they call the 24.

Zach Sloan, Cambridge Investment Research, Fairfield, IA

I just passed the Series 66 exam and found that the Solomon Exam Prep materials are the way to go when preparing for this exam. The advice given from the get-go is spot on; if you think you can cram for this course, forget it. Use the materials as advised and you'll do well. The format of the practice exams closely simulate the way the questions are presented on the test itself. I had 2 prep materials, Solomon's and another and I honestly believe Solomon's was the one that helped the most.

Julio Revuelta, Wealth Management Firm, Miami, FL

I just passed the Series 6. The Solomon Audio/CD set was essential for me as I spend 1.5 hours per day in my car, so that became my study time! Thank you for providing an audio/cd version! I have just ordered the Series 65 set as well.

Ambia Peoples, North Florida Financial Corp, Jacksonville, FL