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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