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Series 28 – Introducing Broker-Dealer Financial and Operations Certification Exam Crack

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Exam Title: Series 28 – Introducing Broker-Dealer Financial and Operations Certification Exam

Exam Code: Series 28

Vendor: FINRA

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The Series 28 exam — the Introducing Broker-Dealer Financial and Operations Principal Qualification Exam (FI) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal in an introducing broker-dealer that does not carry customer accounts or hold customer funds or securities.

Content Outline

The Series 28 Content Outline provides a comprehensive guide to the range of subjects covered on the exam, as well as the depth of knowledge required.

The outline is comprised of the four major job functions of an introducing broker-dealer financial and operations principal. The table below lists the allocation of exam items for each major job function:

Major Job Functions Number of Exam Items
(F1) Financial Reporting 16
(F2) Operations, General Securities Industry Regulations, and Preservation of Books and Records 30
(F3) Net Capital 31
(F4) Customer Protection, Funding and Cash Management 18
TOTAL 95

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