Series 27: Transmittal Of Notices And Reports

Taken from our Series 27 Online Guide

Transmittal of Notices and Reports

Every required notice or follow-up report must be sent to three places: the SEC’s principal office in Washington, DC; the regional SEC office, where the broker-dealer has its principal place of business; and FINRA. The notices or reports can be transmitted by email, text, or fax.

SEC Rule 17a-11(g)

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Transmittal Of Notices And Reports, you might also be interested in:

Series 65 - Chapter 7 Practice Questions

Series 66 - Options Strategies

Series 82 - 4.7.4. Dispute Resolution Procedures

Series 66 - 1.3.1.1.1 Market Risk

Series 24 - Borrowing by Brokers: Hypothecation and Re-hypothecation

Series 65 - Alternative Products

Series 53 - 3.1.1.3. Margin Accounts: Hypothecation

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

Recently passed the FINRA Series 22 Exam. Though the exam is short, the material is obscure and not what you deal with every day in the industry. Solomon did a great job of putting together material and providing a deep understanding. After about 6 weeks of studying and taking 2 practice exams a day, I passed the exam on the first try! Thanks for putting together a robust training product.

Eric Stroehle, Steelwater Wealth Management. Oakville, CT

I sat for the Series 99 and passed on my first attempt! I am thankful for the Solomon Exam preparation. The four-week study schedule was a life saver. I recommend using the Solomon products to prepare for any Series exam.

Cachet Johnson, PNC, Cleveland, OH

I passed the Series 24 on the first try with an 80%! This was the highest of all of my Series exam scores and I attribute much of my success to Solomon's amazing study materials. The practice exams are spot-on and the video lectures were a great supplement to the readings. I suggest following the study schedule Solomon provides for a successful outcome!

Katelyn H, Las Vegas, NV

My third exam passed with Solomon, first the Series 6 and the Series 63, this time the Series 65 - just passed today! Highly recommend for any exam prep you need! Thank you again guys!

Brad Eiden, Nationwide Advisory, Louisville, KY