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Revised:  5/8/2014

Series 27/28 Exam

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Financial and Operations Principal - Series 27/28

Series 3 - Man on PhoneThe series 27/28 is required of individuals responsible for the preparation and maintenance of books and records of a member as required under securities industry rules and regulations.  Self-clearing members who hold customer funds and securities and market makers require a registered FinOp.

No Prerequisite

The test is made up of 100 multiple-choice questions for the series 27 and 75 questions for the series 28.  Each student will be given a total of 3 hours and 30 minutes for the series 27 exam and 3 hours for the series 28 exam  

 

 

 

 

 

 

 

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