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Series 28 is a license and exam sought by financial industry professionals. This exam is also commonly called the Financial and Operations Principal Introducing Broker Exam. Individuals who pass this exam become qualified to work as record keepers or operations principles for broker-dealers and securities custodians. Specifically, professionals who have their Series 28 license can begin participating in back office operations and preparing and maintaining their firm's books and record. If you're a financial professional who is interested in this type of work, passing the Series 28 is a prerequisite to finding employment in the industry.
If you're considering taking the Series 28 Exam, you should begin your preparation process by familiarizing yourself with the content and layout of the exam. The test has 95 multiple-choice questions, which are divided into categories based on the job function they represent. Test-takers have two hours to complete all 95 questions and must get at least 69% correct to receive their license. The sections you'll find on the exam are financial reporting, operations and general securities industry regulations, net capital, and customer protection. Within these categories you'll be asked about topics like how to accurately record investment transactions, financial responsibilities, net capital requirements, and the rights of investors under the Securities Investor Protection Act of 1970.