Series 27: Notification Of Change Of Fiscal Year

Taken from our Series 27 Online Guide

Notification of Change of Fiscal Year

In the event any broker-dealer needs to change its fiscal year (because of a merger with another company, for instance), it must notify the SEC and FINRA. The notice must contain a detailed explanation of the reasons for the change. Any change in the filing period for the audit report must be approved by FINRA.

SEC Rule 17a-5(n)

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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 ;)

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