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.

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

Additional Details

For more exam details, including fees and passing score, please visit FINRA.

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.

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

Additional Details

For more exam details, including fees and passing score, please visit FINRA.

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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