Series 28: Prepayment Of A Subordination Agreement

Taken from our Series 28 Online Guide

The broker-dealer, at its option, may choose to reduce the unpaid principal of the subordinated loan or secured demand note by returning all or any portion of the collateral to the investor prior to the maturity date. For such prepayment to be accomplished, the following conditions must hold:

• The loan must have been outstanding at

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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

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