Series 27

Dictionary Says

Definition of 'Series 27'

A securities license entitling the holder to become a chief financial officer for a FINRA member firm. The Series 27 exam is a FINRA exam designed to challenge the test taker's knowledge of issues related to CFO responsibilities, such as statutory rules surrounding broker-dealer responsibilities, and items covered under the Securities Investor Protection Act of 1970.
Investopedia Says

Investopedia explains 'Series 27'

The Series 27 exam is administered by the Financial Industry Regulatory Authority (FINRA) and covers seven general topics, including: Customer Protection, Federal reserve Board Regulations, Net capital Requirements and Uniform Practice Rules. As of 2010, the exam consisted on 145 multiple choice questions and candidates are given 3.5 hours to complete.

Sign Up For Term of the Day!

Try Our Stock Simulator!

Test your trading skills!

Related Definitions

  1. Broker

    1. An individual ...
  2. Financial Industry Regulatory ...

    A regulatory ...
  3. Series 3

    A securities ...
  4. Series 4

    A securities ...
  5. Series 6

    A securities ...
  6. Series 7

    A general ...
  7. Series 11 License - Assistant ...

    A securities ...
  8. Series 24

    A securities ...
  9. Series 26

    A securities ...
  10. Series 30

    A securities ...

Articles Of Interest

  1. Investopedia Professional Exam Section

    Here is your guide to a multitude of different financial exams, as well as study guides, tips and tricks, and much more!
  2. How To Land A Finance Job With A Bachelor's Degree

    Following these five tips will keep your resume out of the recycling bin.
  3. Jump Start Your Financial Career With The BAT

    The BAT is quickly becoming known in the job market as a tool to provide a window into the minds of those seeking financial jobs.
  4. Prepare For Your CFA Exams

    Find out how to get yourself ready for these lengthy and often daunting exams.
  5. What The Series 24 Exam Won't Teach You

    Can you handle being the judge and jury in your firm? Find out what surprising tasks a job as a principal entails.
  6. CPA, CFA Or CFP® - Pick Your Abbreviation Carefully

    A couple of letters can mean a big difference. Find out which designation you need and how to get it.
  7. Becoming A Financial Analyst

    A career as a financial analyst requires preparation and hard work, but the payoff can be especially rewarding.
  8. Top 7 Non-Financial Skills Required In Finance

    You need to combining your ability to analyze numbers with skills such as communication, project management and relationship development.
  9. Establishing Yourself As An Expert

    Here are some tips on putting yourself on the path to becoming an expert in a field.
  10. How To Improve Your Leadership Skills

    Being a leader can help you in your career. Here are some tips for improving your leadership skills.

comments powered by Disqus
Recommended
Loading, please wait...
Trading Center