Series 27: Department Decision

Taken from our Series 27 Online Guide

Department Decision

In evaluating a change in ownership or business operations application, FINRA’s Department of Member Regulation must determine whether the applicant would continue to meet the standards for FINRA membership.

More specifically, in evaluating an application for the modification or removal of a membership agreement restriction, FINRA must also consider whether keeping the restriction is appropriate in light of:

• The circumstances that initially gave rise to the restriction
• The

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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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