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 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

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Nikita Brown, BMI. Atlanta, GA

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