Series 28: Securities Record

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term Securities Record...

a record that gives information on the owner and physical location of every security held by the firm. It also includes the position (long or short) that each customer and the firm hold in a security.

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I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

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