Securities Exam Preparation, Inc., established in 1972

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

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Series 27 Exam

Financial and Operations Principal


The Series 27 exam 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 the Series 27 Principal include preparing and attesting to the accuracy of the Securities and Exchange Commission's FOCUS Reports.

The Series 27 exam has no prerequisites. 145 Questions 3.5 Hours  $95.00 test fee. Test application form U-4.

The Series 27 exam covers the following topics:

Series 27 Test Topics

Approximate Test Questions
B/D Financial Reporting 16
Net Capital Requirements 44
Customer Protection Rules 37
Municipal Securities Regulations 10
Federal Reserve Board Regulations  8
Uniform Practice Rules 15
Other Regulations 15

Total 145 questions

Securities Exam Preparation, Inc. is a consulting organization specializing in self-study programs for FINRA(NASD) test preparation -- and in coordinating registration services for Investment Advisors, Broker Dealers, Commodity Trading Advisors, and Introducing Brokers.

People who have ordered this product also ordered
the Series 24 and the Series 7.
 
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Securities Exam Preparation, Inc., established in 1972, is a consulting organization specializing in
self-study test preparation for  FINRA, NASAA, and futures industry exams -- and in registration services for
Investment Advisors, Broker Dealers, Commodity Trading Advisors, and Introducing Brokers.

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