Series 27 and 28 Exam Details
Series 27 Exam Details
The FINRA® Series 27, Financial and Operations Principal Exam is required for the individual who prepares and maintains the books and records of the member as required under securities industry rules and regulations.
Prerequisites
None
Exam Format
145 multiple-choice questions
Exam Duration
3 hours, 45 minutes
Outline of Topics Covered
- Keeping and Preservation of Records and Broker/Dealer Financial Reporting Requirements
- Net Capital Requirements
- Customer Protection
- Municipal Securities Rulemaking Board Regulations
- Federal Reserve Board Regulations
- Uniform Practice Rules
- Other Relevant Regulations and Interpretations
Series 28 Exam Details
The FINRA® Series 28, Introducing Broker-Dealer Financial and Operations Principal Exam is required for the individual who prepares and maintains the books and records of the member as required under securities industry rules and regulations.
Prerequisites
None
Exam Format
95 Multiple-choice questions
Exam Duration
2 hours
Outline of Topics Covered
- Keeping and Preservation of Records and Broker/Dealer Financial Reporting Requirements
- Net Capital Requirements
- Customer Protection
- Uniform Practice Rules
- Other Relevant Regulations and Interpretation
Best Practices Guide
Kaplan has prepared a Best Practices Guide to help you pass the first time! This guide includes recommended study hours, how to use your study materials effectively, and test-taking tips. Access the guide and other free materials here.
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