Series 27: Filing Requirements

Taken from our Series 27 Online Guide

Filing Requirements

Filing requirements are deemed to have been fulfilled when the files are received at the SEC’s principal office in Washington, DC—with duplicate originals simultaneously filed at the regional office in which the broker-dealer has its principal place of business.

SEC Rule 17a-5(o)

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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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