Series 28: Replacement Of Accountant

Taken from our Series 28 Online Guide

Replacement of Accountant

Whenever the relationship between a broker-dealer and its independent public accountant is terminated—for any reason and by either party—the broker-dealer must notify the SEC and FINRA within 15 days of the change. The notification must include the independent public accountant’s engagement and termination date.

The notification must also detail any issues arising during the previous 24 months—anything related to accounting practices, financial statement disclosures, auditing scope or proce

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Replacement Of Accountant, you might also be interested in:

Series 53 - Look-Back Provision

Series 51 - Suitability

Series 24 - 5.10.3.1. Conducting Due Diligence on Issuers

Series 79 - Series 79 Online Guide

Series 66 - 3.7.3.3 Voting Rights

SIE - Exercise

SIE - 8.2.8. Trust Accounts

Series 82 - 1.2.1.2.5. Research Reports by Broker-Dealers Not Participating in an Issuer’s Distribution

Series 6 - 3.6. Education Savings Plans

Series 27 - Uncovered Long Positions

Series 26 - Exercise

Series 14 - Chapter 1 Practice Question Answers

Series 54 - Chapter Two

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

Gayle Espinosa. Los Angeles, CA

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 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

I just passed the Series 50 exam! Yay! The Solomon Exam Prep materials are excellent. I utilized the guide book, on-line lecture, on-line course, on-line study guide and quizzes. The "Ask the Professor" feature was very helpful as well. I highly recommend their resources.

Lori Volz, Baker Tilly, Minneapolis, MN

Thank you, Solomon! I passed the SIE and am now working on Series 7. Coming from a background outside of Wealth Management and Finance, I found this material very user friendly. I regularly used the iPhone app as well as the online material, followed the study guide and took A LOT of practice tests. I am grateful for the team at Solomon with a special call out to Madi B and Jeremy S who gave me additional support whenever I needed it. I look forward to the Series 7 content as I was very impressed with the SIE content.

Jeremy Johnson, RBC Wealth Management. Green Bay, WI

The Solomon material was invaluable in helping me pass this exam. The organization of the content, the tests, the video and lecture material, were all exactly on point. Thank you! (Series 54)

Mark Melio, Melio & Company, LLC. Northfield, IL