Series 28: Fingerprint Records

Taken from our Series 28 Online Guide

Fingerprint Records

Every member firm must submit to the U.S. Attorney General a processed fingerprint card for every registered person in its employ, unless the associated person:

• Does not engage in or supervise either the sale of securities or the handling of securities or money or their related books and records
• Does not engage in or supervise transfer agent functions
• Only sells mutual fund shares

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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!!!

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Nikita Brown, BMI. Atlanta, GA

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