Series 27: Risk Assessment Reporting Requirements

Taken from our Series 27 Online Guide

Risk Assessment Reporting Requirements

But wait—there’s more. There must be records of the records!

In order to demonstrate that it is meeting all the above recordkeeping requirements, each broker-dealer must provide the SEC with a Form 17-H within 60 calendar days after the end of each fiscal

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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

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

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Thank you for the flexibility and the study material for 63, I ended up with an 87 thanks to your materials! Thank you Solomon!

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Dave Stakland Cambridge Investment Research Fairfield, IA