Series 28: Replacement Of Accountant

Taken from our Series 28 Online Guide

Replacement of Accountant

Whenever the relationship between a broker-dealer and its independent public accountant is terminated—for any reason and by either party—the broker-dealer must notify the SEC and FINRA within 15 days of the change. The notification must include the independent public accountant’s engagement and termination date.

The notification must also detail any issues arising during the previous 24 months—anything related to accounting practices, financial statement disclosures, auditing scope or proce

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Replacement Of Accountant, you might also be interested in:

Series 6 - 4.3.6. Inherited and Gifted Securities

Series 24 - Limited Liability Companies (LLCs)

Series 24 - Correspondence and Institutional Communications

Series 53 - Automatic Exemptions

Series 66 - 2.4.10. Bid-Ask Spreads

Series 79 - Industry Reports

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 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 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

Solomon's study materials and practice exam helped prepare me quickly and made me confident going into the SIE exam. I'm happy to have used their services and highly recommend their products for the SIE exam.

Kevin Ramani. Boston, MA

I passed the 24 with the help of the audio, book and test questions. I previously took this test and failed walking away with the thought nothing I studied looked familiar. I also didn't really understand how certain areas functioned... but found the information provided with Solomon worked best for me. The flow charts and extra resources section were extremely helpful in breaking down sections of this "Dry" test. The audio was great to review and the book format was easy to read and concise. I felt almost every question I knew what they were asking and I was able to eliminate one or two questions. Don't waste your money with other sites. Solomon will allow you to pass on the first time. Good luck!

Matthew D., Orange County, CA

When I took my SIE exam, I only spent 30 minutes taking the exam and I passed. It is amazing how Solomon goes into detail regarding information. You guys provide more information than Kaplan's SIE book. Thank you so much for helping me succeed in my endeavors. Onward and upward to the Series 7. I'm choosing Solomon again!

Zach Sloan, Cambridge Investment Research, Fairfield, IA