Series 28: Chief Compliance Officer And Compliance Certification

Taken from our Series 28 Online Guide

Chief Compliance Officer and Compliance Certification

FINRA requires each member firm to designate one or more principals to serve as chief compliance officer and identify that person to FINRA on its application for registration.

FINRA also requires the chief executive officer (CEO) to certify each year that the member firm has written and implemented a set of compliance policies and supervisory procedures. The CEO must certify that these policies and procedures ar

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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 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 just passed the Series 63 after failed in the first attempt as of January. I had studied with another vendor and after some research, I decided to buy Solomon material. I felt very comfortable with the material since English is my second language. And due to the type of the exam, this was very important. It took me time to make the decision for the 2nd attempt but Karen was important to support and she convinced me. I felt very comfortable till question number 20, after that a bit stressful but be sure that you will know the subjects. Thanks Solomon!!!

Ariel Barroso, MCM. Miami, FL

Nikita Brown, BMI. Atlanta, GA

I passed my Series 24 today with an 80% thanks to Solomon Test Prep! I found the most benefit from using the practice exams as a learning tool, reading each answer explanation as I went along, regardless of a(n) correct/incorrect response. I found that for this exam, understanding the concepts is equally as important as memorization! Good luck!

Audrey M., Austin, TX