Series 28: (k)(2)(i) Exemption

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

Definition of the term (k)(2)(i) Exemption...

an exemption from the $250,000 FINRA and SEC net capital requirement for carrying firms that strictly handle cash accounts. To meet the terms of the exemption, a firm must promptly

+ Read More

More Series 28 Info

What are people saying?

Create an Account

We have an excellent Audiobook for the Series 28!

Since you're reading about Series 28: (k)(2)(i) Exemption, you might also be interested in:

Series 65 - Form U4

SIE - adjustable-rate preferred stock

Series 7 - 140% rule

Series 51 - redemption

Series 7 - blind pool

Series 53 - advertisement

Series 7 - collateralized debt obligation (CDO)

SIE - record owner

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

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.

Gayle Espinosa. Los Angeles, CA

I just passed the Series 79 exam. You guys rock! And your price beats the competitors'. Thanks for the great materials.

Bin Xie, Houston, Texas

I just passed the FINRA Series 79 exam!! I only used Solomon Exam Prep. I recognized the material that came up during the exam and felt comfortable all the way through!! That you all for your help!!

Walter Whitehead FNEX Capital. Los Angeles, CA

I passed the 24 the first time with the help of the Solomon materials. The online course and the exams really helped focus in and clarify what was important. I've recommended them to all of my colleagues!

Corrinne Kaucher