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

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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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