Mastering Series 27: Financial and Operations Principal Exam Prep - Paperback

by Innoware Pjp (Author)Mastering Series 27: Financial and Operations Principal Exam Prep Table of Contents Chapter 1: Introduction to Series 27 Exam.. 1Chapter 2: Regulatory Framework and Industry Standards. 5Chapter 3: Firm Operations and Recordkeeping. 10Chapter 4: Capital and Margin Requirements. 15Chapter 5: Customer Protection and Investor Education. 20Chapter 6: Trading and Market Regulation. 25Chapter 7: Financial Responsibility Rules. 29Chapter 8: Supervision and Compliance. 34Chapter 9: Business Expansion and Acquisitions. 39Chapter 10: Ethics and Professional Conduct 43Chapter 11: Series 27 Practice Exams. 47Chapter 12: Series 27 Exam Tips and Test-Taking Strategies. 54Chapter 13: Final Exam Preparation and Test Day Tips. 61Chapter 14: Series 27 - FAQ and Additional Resources. 65Chapter 15: Series 27 - Mock Exam and Review.. 69 Number of Pages: 80 Dimensions: 0.17 x 9 x 6 IN Publication Date: August 14, 2023