Post by cxgllc on Nov 22, 2018 7:26:27 GMT -5
Series 27 General Information. The FINRA® Series 27, Financial and Operations Principal Exam is required for the individual who prepares and maintains the books and records of the member as required under securities industry rules and regulations.
The Series 27 covers brokers-dealers that have a minimum net capital requirement of $250,000 and municipal securities brokers that have a minimum net capital requirement of $150,000 (under SEC Rule 15c3-1). The Series 28 is an abbreviated version of the series 27.
Compliance Consulting Firms| Compliance Outsourcing
The Series 27 covers brokers-dealers that have a minimum net capital requirement of $250,000 and municipal securities brokers that have a minimum net capital requirement of $150,000 (under SEC Rule 15c3-1). The Series 28 is an abbreviated version of the series 27.
Compliance Consulting Firms| Compliance Outsourcing