Series 27: Notifications And Reports

Taken from our Series 27 Online Guide

Notifications and Reports

Each carrying or clearing member must submit to FINRA on an ongoing basis (or upon request) any financial and operational information FINRA deems essential to protect investors and the public interest. This applies also to institutional brokerage firms that transmit customer funds and securities on a DVP/RVP basis and do not carry margin accounts.

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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 ;)

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