Series 27 Exam Study Guide
Complete Review for the FINRA Series 27 Financial and Operations Principal ExamBy Marie Peterson
Length9h 44m
About this audiobook
Walk into the FINRA Series 27 exam ready for every question. This complete study guide gives FINOP candidates a clear review of every topic the FINRA Series 27 exam tests, plus 600 original practice questions, each with a full written explanation of why the right answer is right and why each wrong choice is a trap. The review is organized by domain so you can study one area at a time and track your progress. Covers financial responsibility rules, net capital, recordkeeping, customer protection, financial reporting, and regulatory requirements. Questions are scenario-based and written to match the depth and style of the real exam, and each explanation is in plain language to build real understanding rather than memorization. Includes 2 full-length practice exams with complete answer keys. An independent study aid, not affiliated with or endorsed by FINRA.
Audiobook details
GenreEducation and Learning
Length9 hrs 44 mins
Narrated byListen with 1,000+ voices
FormateBook with Audio
LanguageEnglish
Table of contents
1Front Matter
2How to Use This Book and About the Exam
3Test-Taking Strategies for the Series 27
4Unit 1: The Net Capital Rule (SEA 15c3-1)
5Unit 2: The Customer Protection Rule (SEA 15c3-3)
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6Unit 3: Books and Records (SEA 17a-3 and 17a-4)
7Unit 4: FOCUS Reports, Financial Reporting, and Audits (SEA 17a-5)
8Unit 5: Broker-Dealer Financial Statements and Subordinated Loans
9Unit 6: Notification, Early Warning (SEA 17a-11), and Capital Ratios
10Unit 7: AML, SIPC, and Bank and Credit Regulation
11Unit 8: Supervision of Financial Operations, Ethics, and Synthesis
12Full-Length Practice Exams
13Quick Reference
14Conclusion
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