Series 28: Independent Public Accountant Exemptions

Taken from our Series 28 Online Guide

Independent Public Accountant Exemptions

A member firm is not required to engage an independent public accountant to provide annual reports if, since the date of the broker-dealer’s registration or since the previous annual reports were filed, the broker-dealer has solely been engaged as agent for a securities issuer. In other words, a firm is exempt if it has:

• Never held any

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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

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Gayle Espinosa. Los Angeles, CA

I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

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