Series 28: Limited Principal—Introducing Broker-Dealer Financial And Operations

Taken from our Series 28 Online Guide

Limited Principal—Introducing Broker-Dealer Financial and Operations

A FINOP for an introducing broker-dealer must qualify as an Introducing Broker Financial and Operations Principal, one of whom must perform the duties of chief financial officer. The FINOP registers as a Limited Principal—Introducing Brok

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Limited Principal—Introducing Broker-Dealer Financial And Operations, you might also be interested in:

Series 65 - 5.1.3. Fiduciary Accounts

Series 22 - 4.1.3. DPP Offering Practices

Series 66 - Preferred Dividends

Series 79 - Priority Unsecured Claims

Series 52 - 3.6. Reporting of Variable Rate Security Underwritings

Series 63 - Chapter 10 Practice Questions

Series 53 - Securities Issue Information

SIE - 10.2. FINRA Conduct Rules

Series 51 - Disclosures to Issuers (MSRB Rule G-17)

Series 26 - Customer Identification and Verification

Series 7 - 2.16. Structured Products

Series 66 - 1.1.1.3. Earnings Before Taxes

Series 79 - Exchange-Listed Securities

Series 50 - Municipal Securities Definition

Series 24 - 4.2.8.2. Form 10-K

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

Just finished the Series 82 in just over an hour. Got an 86%. Your preparation and support was instrumental!! Thanks SO MUCH!!!

Ariel Shlien, Montreal, Canada

Your content was phenomenal. I could not have done it [pass the Series 82] without you. Thank you!

Jonathan Livi, Uber Capital Group, Great Neck, NY

I passed my series 6 exam due to the Solomon Exam Prep online material and practice exams. Thank you Jeremy Solomon for personally calling and emailing me some tips/advice!

Kevin Lafleur, WoodmenLife, Ville Platte, LA, Series 6