Securities Exam Preparation, Inc., established in 1972

Publishing and Professional Information Services

We are a consulting organization specializing in
self-study test preparation for FINRA, NASAA, and
futures industry exams.

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Note: All FINRA (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 27 Exam  | Financial and Operations Principal

The Series 27 test is for any person involved in the financial and operational management of a FINRA (NASD) member firm (including the chief financial officer). The tasks of this individual include preparing and attesting to the accuracy of the Securities and Exchange Commission's FOCUS Reports.

145 Questions 3.5 Hours No prerequisite $115 test fee (Form U-4)

Test Topics in the Study Manual

Approximate Test Questions

Net Capital Rule
Customer Funds Rule
Reporting & Recordkeeping Rules
FINRA Uniform Practice Rules
Customer Accounts Margin Rules
Municipal Securities Rulemaking Board Rules
Other Relevant Regulation
Total 145 questions


Series 27 Study Text

series 27





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Securities Exam's 8 1/2" by 11" program comes in a 3-ring binder for ease of study.

The 400+ plus pages are divided into the major categories of the exam. Within each category, after every few pages discussing a test topic, there is a short quiz with clear explanations. Over 1,000 simulated questions with detailed explanations including FIVE final exams.

Designed specifically for the self-study student -- the text is written in plain English with concepts explained clearly and hundreds of exam questions that will prepare you for the test!

Prepared by a C.P.A., the technical writing is concise and to-the-point; clear page presentation leads you through the key concepts and the frequent quizzes with expanded explanations allows you to lock-on to the test topics.

Use this program so that you understand the complexities of the Net Capital Rule and the Customer Protection Rule.

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Series 27 Exam Computer CD 


CD is
Windows Only!


The Series 27 CD includes:

  • FIVE FINAL EXAMS. Over 580 exam-type questions and fully-explained answers provide fast and thorough review of major test topics
  • Gives you an accurate measure of your likelihood of passing the exam.
  • Provides a competitive edge by simulating your Pearson VUE exam -- these questions supplement any study materials you may have!!

On this single-user system you can take the quizzes as many times as you like, but the CD expires after a certain time-period from the date of purchase -- you should take the #27 exam within 120 days of buying the CD.

What to do:

  • The CD has final "exam-oriented" test questions -- so just highlight the exam you want to review and hit the Enter key -- the directions are on the screen!
  • The computer keeps track of your score and keeps track of missed questions -- this insures that you don't skip an important topic
  • Take the final exams until you get an 80% accuracy
  • Once you get 80%'s on the finals you'll have the actual exam locked!
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Study Text and CD



CD is Windows Only!

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