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INTRODUCING
BROKER
The
NASD's Introducing Broker/Dealer Financial and Operations Principal
Qualification examination is designed to test a candidate's knowledge
of applicable rules and statutory provisions relating to broker/dealer
financial responsibility and recordkeeping and the protection
afforded investors under the Securities Investor Protection Act
of 1970.
The
NASD Series 28 is an appropriate qualification examination for
a satelite office to conduct business and receive checks in the
brokerage's name. Another such appropriate qualification examination
is NASD Series 24.
The
examination is composed of 75 multiple choice questions with a
maximum of three hours of testing time allowed. The candidate
must perform net capital computations based on financial information
in a firms's trial balance.
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Topics |
Number
of Questions
|
|
1.
|
Keeping
and preservation of records |
20%
|
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2.
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Net
capital requirements |
49%
|
|
3.
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Customer
protection |
11%
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4.
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Broker/dealer
financial reporting
|
15%
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5.
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Other relevant regulations |
5%
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Test-N-Learn Company and its affiliates attempt to be as accurate
as possible. However, Test-N-Learn Company does not warrant that
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and other information in this document are subject to change without
notice.
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