Securities - Series 27/28 - kfeducation.com

Series 27/28
Financial and Operations Principal Exam

Study Solutions
Exam Details
For Training Directors
Classroom Partner

The Basic Self-Study Solution includes both print and online study tools designed to fit your study style and schedule. We know you're a busy professional, and we know you need to pass, The First Time!

That’s why all our Study Solutions are built on our proven LEARN • PRACTICE • RETAIN™ method. This 3-step system for success helps students LEARN the curriculum, PRACTICE new skills, and RETAIN key concepts so you are fully prepared to pass your Securities exam.

Secure Your Future, Ensure Your Success. Pass your Securities Licensing exam!

	Basic Self-Study Solution $329
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License Exam Manual A comprehensive textbook covering all aspects of the exam. Short, focused paragraphs with numerous graphics and exercises help students learn faster and retain critical information.
SecuritiesPro™ QBank Test yourself with exam-focused questions, build personalized exams based on difficulty, length, and topic of your choice, and create personal notes and bookmarks for future reference. Available online with optional download.
Practice Exam Designed to closely replicate the true exam experience, both in terms of the degree of difficulty and topical coverage. Validated as a test of preparedness, this exam may be taken just once and provides a score and diagnostic feedback without answer explanations. It is a sound indicator of potential actual exam scores: the better students do on this exam, the more likely they are to pass their Series exam.
InstructorLink™ A unique combination of online instructional resources and interactive support tools designed to help students pass their Securities exam. Consists of: Searchable FAQs - A database of past questions asked of our instructors that allows students to search by topic and keywords. Exam-tips Blog - A blog by Securities content experts featuring exam tips, strategies, and motivational help. Provides students with additional exam-prep focus. Add the blog to your list of RSS feeds for instant notification of new postings. Test Alerts - A component of the blog, Test Alerts keep students informed of regulatory updates as well as any modifications to the content of their study materials. Study Calendar - A downloadable PDF of recommended study activities and timing.	partial access

Note: Online products expire nine months from the date of purchase.

General Information

Financial Operations Principal (27) and that of Introducing Broker (28) tests a candidate’s knowledge and understanding of financial responsibility, rules, and record-keeping requirements.

Series 27:

Pre-Requisites: None

Type of Exam: 145 Multiple-choice questions

Exam Duration: 3 hours 30 minutes

Passing Grade: 70% or above

Fee: $105.00

Series 28:

Pre-Requisites: None

Type of Exam: 95 Multiple-choice questions

Exam Duration: 2 hours

Passing Grade: 71% or above

Fee: $85.00

Outline of Topics Covered:

Series 27

Keeping and Preservation of Records and Broker/Dealer Financial Reporting Requirements
Net Capital Requirements
Customer Protection
Municipal Securities Rulemaking Board Regulations
Extension of Credit in the Securities Industry
Uniform Practice Rules
Other Relevant Regulations and Interpretations

Series 28

Keeping and Preservation of Records and Broker/Dealer Financial Reporting Requirements
Net Capital Requirements
Customer Protection
Uniform Practice Rules
Other Relevant Regulations and Interpretations

Structured Study Program (SSP) - Available for Series 6, 7, 63, 65 and 66

Finally, an Answer for Training Directors.
SECURITIES TRAINING SOLUTIONS THAT WORK!

Monitor the progress and performance of your employees whenever you want! Employees falling behind are automatically identified with an “At Risk” alert. Our Structured Study Program (SSP) puts you in control and drives employee accountability.

This simple and effective learning management program combines our Premium Instruction Solution with a comprehensive suite of online tools for tracking and reporting. Maximize the return on your training investment with SSP!

OnDemand Reporting

This innovative approach to Securities Training allows you to efficiently monitor the progress and performance of your employees. Available for Series 6, 7, 63, 65, and 66, SSP is a cost-effective, results-driven solution intended to get your reps licensed as quickly as possible.

Interactive Online Study Calendar

Students create their individualized study calendar with our dynamic online program. This results-driven process blends the core components of our Premium Instruction Solution with a study plan consistent with the firm's requirements to ensure exam readiness.

Our Structured Study Program combined with the new Premium Instruction Solution puts your employees in the best position to pass their Securities Licensing Exam!

Available for Series 6, 7, 63, 65, and 66.

Set up your firm’s Structured Study Program today!

Request More Information (Training Directors Only):

Through a partnership with MGLU, a live classroom option for your Series 27/28 studies is available. These classes support the Kaplan Financial Education study materials you will receive with your purchase of the Series 27/28 Basic Self Study Solution.

If you prefer live class support please note the following:

The MGLU Series 27/28 class offering is an exam focused, interactive presentation. To get the maximum benefit from your class it is suggested that you spend 40-60 (Series 27) / 30-40 (Series 28) hours of prestudy using the materials contained in your Kaplan Financial Education Series 27/28 Basic Self Study Solution package. Live classroom registration can be done immediately following your purchase of the Basic Self Study Solution or later in your study process. Classroom location, dates and registration information can be found by visiting www.mglu.com.

Series 27/28Financial and Operations Principal Exam