Series 28: Close-Out Requirements

Taken from our Series 28 Online Guide

Close-Out Requirements

Rule 204 states that broker-dealers must deliver the securities for their long or short sales on the settlement date. If a fail to deliver occurs, then it must “close out” its fail

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Close-Out Requirements, you might also be interested in:

Series 24 - Day-Trading Accounts

Series 63 - 5.7.1 Excessive Trading

Series 53 - Lifetime Requirement

Series 54 - 3.1.7. Registration of Associated Persons and Form MA-I

Series 53 - Approval by Principal

Series 7 - 5.3.2. Collars

Series 53 - Transaction and Technology Assessments

Series 26 - Supervision of Supervisors

Series 27 - Exercise

Series 82 - Chapter 4 Practice Question Answers

Series 52 - Investments and Fees

Series 7 - 18.4.2.1. Code of Arbitration

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

I sat for the Series 99 and passed on my first attempt! I am thankful for the Solomon Exam preparation. The four-week study schedule was a life saver. I recommend using the Solomon products to prepare for any Series exam.

Cachet Johnson, PNC, Cleveland, OH

The Series 82 materials were extremely helpful to passing a difficult exam. Up-to-date materials with a mix of video and reading content, as well as helpful practice tests. The best material available for the Series 82 by far.

Anonymous, California

Thank you, Jeremy, and the Solomon Exam Prep team for your tremendous support - just passed Series 82 on my first try. Jeremy - your magnificent support was invaluable - right from the random "cold" query, via your website, in December down to the personalised care and coaching I received during my prep. Couldn't have nailed this without you & the team.

Shilpa Mathai, Applied Capital, Indianapolis IN