Series 27: SIPC Authority

Taken from our Series 27 Online Guide

SIPC Authority

The Securities Investor Protection Corporation has no authority to combat investment fraud or to investigate or regulate its members. It has the narrower focus of overseeing the liquidation of member firms that close due to bankruptcy or financial trouble.

When a self-regulatory organization or the SEC becomes aware that a broker-dealer is in financial difficulty, it must notify SIPC. In the case of an imminent danger of member failure, SIPC m

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: SIPC Authority, you might also be interested in:

Series 26 - Investment Company Advertisements and Sales Literature

Series 99 - 3.3.3.2 Currency Transaction Reports (CTRs)

Series 53 - Nominal Bids

Series 66 - Earnings Before Taxes

Series 53 - Municipal Securities Representative (Series 52)

Series 79 - Chapter 14 Practice Question Answers

Series 24 - 1.2.4. Conditions of FINRA Membership

Series 3 - 4.3.1. Hedging Long Positions

Series 82 - Non-Voting Common Stock

Series 27 - Customer Ledgers

Series 63 - Exercise

Series 52 - 4.3. Trade Reporting and Settlement

Series 53 - Interest Payment Claims

Series 24 - Subordinated Debt

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 passed my 27 and I can't thank you enough for the preparation materials, most importantly the Final Exams. I studied for weeks for this test and buckled down the last two weeks of 6 hour study days. It's a great feeling and I couldn't have done it without you!!!

Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

I paid for the best package (Series 63 Total Study Package), and it was well worth the money!! Would use it again!

Greg Hensley

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

I would definitely recommend Solomon study materials. "Ask the Professor" was a great tool, and Karen answered my questions faster than I could keep up! I was easily able to pass the Series 79 sticking to Solomon's 6 week study program.

Julie B, Vancouver, BC Canada