Series 27 Securities Exam – Securities License Exam Preparation


The Series 27 Securities Exam is for any person involved in the financial and operational management of a FINRA member firm (including the chief financial officer). The tasks of this individual include preparing and attesting to the accuracy of the Securities and Exchange Commission‘s FOCUS Reports.

145 Questions 3.5 Hours | No prerequisite | $120 test fee (Form U-4)

Test Topics & Approximate Test Questions

Test Topics Approximate Test Questions
    B/D Financial Reporting 16
    Net Capital Requirements 44
    Customer Protection Rules 37
    Municipal Securities Regulations 10
    Financial Hedging 10
    Federal Reserve Board Regulations 8
    Uniform Practice Rules 15
    Other Regulations 15
***Total Questions*** ***145***

 

Series 27 Financial and Operations Principal Study Materials

Series 27 – Exam Study Book

$250.00 Add

Securities Exam’s 8 1/2″ by 11″ program comes in a 3-ring binder for ease of study.

The 400+ plus pages are divided into the major categories of the exam. Within each category, after every few pages discussing a test topic, there is a short quiz with clear explanations. Over 1,000 simulated questions with detailed explanations including FIVE final exams.

Designed specifically for the self-study student — the text is written in plain English with concepts explained clearly and hundreds of exam questions that will prepare you for the test!

Prepared by a C.P.A., the technical writing is concise and to-the-point; clear page presentation leads you through the key concepts and the frequent quizzes with expanded explanations allows you to lock-on to the test topics.

Study Book for Series 27

Study Book for Series 27

Use this program so that you understand the complexities of the Net Capital Rule and the Customer Protection Rule.

Series 27 – DATABANK of Final Exams

$175.00 Add

Designed to complement our Printed Materials, Series 27 DATABANK Practice Exams software is a convenient and effective method of testing a student’s overall comprehension of the material. Using DATABANK Practice Exams software prepares your for the actual test by presenting practice questions of similar complexity to that of the real exam.

  • The program consists of 5 Final Exams drawn from the major topics found on the actual exam.
  • Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.
  • No two tests in DATABANK Practice Exams are the same — the depth of the question pool ensures that each question you sees is unique.
  • All of the tests are weighted in the same manner as the material in the actual exam.

System Requirements:

Requires internet access and will work on most computers, tablets, and smart phones, including Apple devices.

DATABANK for Series 27

DATABANK for Series 27

Supported browsers on Windows or Mac OS:

  • Internet Explorer (Version 6 or Better) or
  • Google Chrome or
  • Safari or
  • Firefox (Version 3.6 or Better)

Series 27 – Exam Study Book + DATABANK of Final Exams

$425.00 $315.00 Add

Exam Study Book

Securities Exam’s 8 1/2″ by 11″ program comes in a 3-ring binder for ease of study.

The 400+ plus pages are divided into the major categories of the exam. Within each category, after every few pages discussing a test topic, there is a short quiz with clear explanations. Over 1,000 simulated questions with detailed explanations including FIVE final exams.

Designed specifically for the self-study student — the text is written in plain English with concepts explained clearly and hundreds of exam questions that will prepare you for the test!

Prepared by a C.P.A., the technical writing is concise and to-the-point; clear page presentation leads you through the key concepts and the frequent quizzes with expanded explanations allows you to lock-on to the test topics.

Use this program so that you understand the complexities of the Net Capital Rule and the Customer Protection Rule.

DATABANK of Final Exam

Designed to complement our Printed Materials, Series 27 DATABANK Practice Exams software is a convenient and effective method of testing a student’s overall comprehension of the material. Using DATABANK Practice Exams software prepares your for the actual test by presenting practice questions of similar complexity to that of the real exam.

  • The program consists of 5 Final Exams drawn from the major topics found on the actual exam.
DATABANK & Study Book for Series 27

DATABANK & Study Book for Series 27

  • Each question has a detailed explanation that not only explains which answer is correct, but also explains why the other answers are wrong for the more complex concepts.
  • No two tests in DATABANK Practice Exams are the same — the depth of the question pool ensures that each question you sees is unique.
  • All of the tests are weighted in the same manner as the material in the actual exam.

System Requirements:

Requires internet access and will work on most computers, tablets, and smart phones, including Apple devices.

Supported browsers on Windows or Mac OS:

  • Internet Explorer (Version 6 or Better) or
  • Google Chrome or
  • Safari or
  • Firefox (Version 3.6 or Better)

NOTE: All FINRA exam are continually being updated. You should take your exam within 120 days of ordering your study materials!
NOTE: Under the terms of our End User Licensing Agreement (“EULA”) each DATABANK Practice Exams product can be used only by one person. Once your order is processed by our staff you will be emailed access instructions to the DATABANK.