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NASD FINRA Series 27
NASD FINRA Series 27
FINRA (NASD) License
To be a Series 27 representative, you must be working or be sponsored by a FINRA (NASD Firm) and pass the exam. The test focuses on many areas of a brokerage firm but is centered mainly on the Financial Operations (Finop) of a brokerage firm or bank.
Test
The test is a multiple choice exam. Some Sample questions include:
Which statements are true regarding the retention period for U-4 and U-5 Forms?
I The
U-4
Form
must
hiring
date
II
The
U-4
Form
must
termination
date
I I I
The
U-5
Form
must
hiring
date
IV
The
U-5
Form
must
termination
date
a. I and III
b.
I and IV
c. II and III
d.II and IV
Series 27 Study Material - Updated and professional Books and CD's for the Series 27 Exam. AIT offers securities training home study courses.