Series 28: FINRA Member Supervisory Responsibilities

Taken from our Series 28 Online Guide

FINRA Member Supervisory Responsibilities

The Exchange Act of 1934 empowers the SEC to take punitive action against any FINRA member that has willfully violated securities laws or failed to supervise an employee who violated securities law. The Act goes on to say, however, that supervisors who have p

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: FINRA Member Supervisory Responsibilities, you might also be interested in:

Series 66 - Price Orders

Series 66 - U.S. Savings Bonds

Series 6 - 7.4.1.5.2.1. Interest Coverage Ratio

Series 66 - Municipal Bonds

Series 65 - 1.4.3.4 Form 8-K

Series 66 - Common Categories of Investment Advisory Fraud

Series 24 - Broker-Dealer Reporting Rule

Series 65 - Post-Registration Requirements

Series 79 - Chapter 1 Practice Question Answers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

Passed the SIE on the first try. Solomon Exam Prep is definitely the way to go. Just follow your study guide. The practice exams are where Solomon truly shines. I will certainly be using Solomon for the Series 7.

Brandon Collins, Benchmark. Memphis, TN

I was having a tough time with the series 26 material. It had been 10 years since I had last studied for a test. I used other material of some big name companies that did not help me to understand what the test was asking. I purchased the Question bank from Solomon and I truly believe it is one of the reasons I was able to power through the exam. The questions were more challenging then the actual test itself which really helped me when it came to crunch time.

Ryan Schlagenhauf, Prudential, Shelton, CT

Thanks for your help. I passed my Series 6 test! Couldn't have done it without Solomon Exam Prep study materials.

Joshua J. Parsons, Redbud Financial Group, Oklahoma City, Oklahoma