Series 28: Continuing Education

Taken from our Series 28 Online Guide

Continuing Education

All registered persons must participate in an annual continuing education (CE) program. This program has two elements: a regulatory element and a firm element. If the CE is not completed annually, the person’s registration will become inactive, and they will not be able to perform any activities that require registration or be compensated for any of those activities until they complete the overdue CE.

The content of the regulatory element is determined by FINRA and is appropriate to the class of registered representative or principal. An individual is responsible for completing the content requirements for each registration category they hold.

The firm element is prepared by the firm for its associated persons. FINRA requires member firms to prepare an annual trai

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Continuing Education, you might also be interested in:

SIE - Unit Investment Trusts (UITs)

Series 24 - 2.8.5. Broker-Dealer Reporting Rule

Series 14 - 1.7. FINRA Adjudicatory Procedures

Series 24 - Pre-arranged Trades Are Prohibited

Series 66 - Private Placements: Regulation D

Series 53 - 3.6.5 Rule G-5—Transactions Must Conform to MSRB and Other Agency Rules

Series 79 - 11.4.2. The Definitive Agreement

Series 50 - Written Post-Issuance Policies

Series 65 - Second Market (Over-the-Counter)

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

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

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 passed the SIE on my first attempt thanks to Solomon Exam Prep's structure and chapter guides consolidating a large amount of information into easy to learn material. I did not study finance in College and have been in Compliance for the better part of my career. This has been a validating experience thanks to Solomon Exam Prep.

Marlon Gonzalez-Perez, Tradition. New York, NY

I passed the Series 63 after using the study materials from Solomon. The practice exam and quizzes were the most amount of help. How the questions are asked really makes a difference. It gets your mind ready for how the exam will phrase the questions. Highly recommend this to anyone taking the Series 6 and/or 63. Great material! Will be returning for the Series 7 in the future.

Joseph DeLoach, WoodmenLife, Eatonton, GA

I finally passed the Series 65! I’m writing today to send you a very sincere Thank you for all the professional support and emotional guidance you have provided. I was emotionally beat up and almost ready to give in on my endeavor of passing the Series 65 and becoming an Investment Advisor Firm. After becoming unemployed and having a tremendous time focusing on the study material, you provided additional months and material access for no additional Fee! You also mentioned I should be able to teach the material and then I’ll be ready for the exam. By the gracious caring and professional sharing of your wisdom, it provided me to find my path to passing the Series 65! The three items that really helped was to Study like I’m going to teach it, memorizing and learn by over studying, and getting plenty of sleep and rest. Thank you to you, your family, and pro team for all you have done. I am very blessed and humbled to have met you all in this challenging time of my life. Happy Holidays, and Have a Safe and Happy New Year!

Michael Jones. Kansas City, MO