Series 27/28 SecuritiesPro QBank Latest Edition. Study for the Financial and Operations Principal Exam. Test yourself with exam-focused questions, build personalized exams based on difficulty, length, and topic of your choice, and create personal notes and bookmarks for future reference. Available online with optional download. E-mail with login info will be sent to the e-mail address on file within 1 business day. (FREE SHIPPING ON THIS ITEM. No Refunds. No Returns)
Series 27/28 SecuritiesPro™ QBank Latest Edition.
Financial and Operations Principal Exam.
Test yourself with exam-focused questions, build personalized exams based on difficulty, length, and topic of your choice, and create personal notes and bookmarks for future reference.
Downloadable Software
E-mail with login info will be sent to the e-mail address on file within 1 business day.
EXAM DETAILS (Provided for informational purposes)
Financial Operations Principal (27) and that of Introducing Broker (28) tests a candidate’s knowledge and understanding of financial responsibility, rules, and record-keeping requirements.
Series 27:
Pre-Requisites: None
Type of Exam: 145 Multiple-choice questions
Exam Duration: 3 hours 30 minutes
Passing Grade: 70% or above
Fee: $105.00
Series 28:
Pre-Requisites: None
Type of Exam: 95 Multiple-choice questions
Exam Duration: 2 hours
Passing Grade: 71% or above
Fee: $85.00
Outline of Topics Covered:
Series 27
- Keeping and Preservation of Records and Broker/Dealer Financial Reporting Requirements
- Net Capital Requirements
- Customer Protection
- Municipal Securities Rulemaking Board Regulations
- Extension of Credit in the Securities Industry
- Uniform Practice Rules
- Other Relevant Regulations and Interpretations
Series 28
- Keeping and Preservation of Records and Broker/Dealer Financial Reporting Requirements
- Net Capital Requirements
- Customer Protection
- Uniform Practice Rules
- Other Relevant Regulations and Interpretations
Manufacturer: Kaplan Financial Education
SKU: NCS2728QBK2E
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