The 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
The 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.
