Series 27: Delivery To The Customer’s Agent

Taken from our Series 27 Online Guide

Delivery to the Customer’s Agent

No member firm may accept a purchase order for securities transactions where payment or delivery is to be made with the customer’s agent, unless it has received, from the customer prior to accepting the order, the agent’s name and address and the time and account number of the customer on file with the agent. In addition:

• Each order accepted from the customer must note the fact that it is a payment on delivery (POD) or collect on delivery (COD) transaction.
• The member firm must deli

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Delivery To The Customer’s Agent, you might also be interested in:

Series 66 - Risk Tolerance

Series 52 - 8.4.1.1. SEC Financial Responsibility Rules

Series 22 - 1.2.1.2.2. Characteristics of a Regulated Investment Company

Series 14 - 5.1.2. Branch Office

Series 7 - 3.2.3.2 By Taxable Status

Series 65 - 10.11.11. Personal Outside Investment Accounts

Series 54 - 1.5.5. Bank Exemption

Series 63 - Appendix A—Model Rule 102(a)(4)-1

Series 51 - Exercise

Series 24 - 5.10.3. Disclosure of Routing Information

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

The audio book was fantastic, and I passed the Series 65 on my first attempt. Thank you!

Steve O'Dell, Merrill Lynch, Westchester, NY

I passed the Series 50 on the first attempt thanks to Solomon's materials. Although the questions on the exam were much more difficult and complex in structure and format than the Solomon practice exams, the study materials & practice exams did enforce the concepts that the actual exam was testing. Thank you Solomon!!!

Lisa Gesin, Gesin Consulting, Dallas, TX

Thanks! I am thrilled. I took the Series 7 three years ago and have been putting off the Series 63 after I failed the first time. I used your book and iPhone app. I am recommending your materials to everyone in my office that needs to take the 63 in the near future. Of course you can use my email as a testimonial. Everything that people have said on the testimonials is 100% correct. The way the materials are written makes it much less of a chore to read and comprehend. Thanks for the follow up email!

Julia Smith, RBC Wealth Management

After trying numerous study materials, Solomon was the key to pass my Series 24. The live class was a perfect complement. Thank you Karen for your assistance!

Marie, Miami, FL