Series 27: Notification Of Failure To Make A Required Deposit

Taken from our Series 27 Online Guide

Notification of Failure to Make a Required Deposit

If a broker-dealer fails to make a required deposit in its customer reserve bank account, PAB reserve bank account, or special account, it must immediately notify the SEC and its designated examining authority by telegram and promptly confirm the notification in writing.

SEC Rule 15c3-3(i)

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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

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