A Series 28 course from Varsity Tutors combines the convenience of online learning with a one-on-one learning environment. In a Series 28 course, you receive intensive instruction suited to your needs. By going through a Series 28 course, you can maximize the time you spend preparing for this exam.
The Series 28 exam, also known as the Introducing Broker-Dealer Financial and Operations Principal Qualification Examination, measures a candidate's ability to perform the functions of a financial and operations principal at an entry-level position. Below is a table detailing the general layout of the exam:
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In a Series 28 class, you are able to explore the important concepts and topic areas of the exam. The table below provides a list of some of the topics you and the instructor for your Series 28 can cover in your sessions:
Series 28 Topics (non-comprehensive)
- Preparation and maintenance of general ledger and sub-ledgers
- Financial statement disclosures
- Regulatory classification and recognition of specific assets and liabilities, revenue and
- Timing of filing of audited financial statements and other reports
- Timing and method of filing regulatory notifications
- Identification of unexpected gains/losses on transactions, trading above limits
- Management and review of general operations functions
- Records documenting internal risk management controls
- Arbitration and hearing procedures
- Net capital requirements of brokers and dealers
- Exclusions from aggregate indebtedness
- Non Marketable securities
- Determining adjustments to net worth
- Unsecured customer balances
- Control or restricted securities
- Moment-to-moment compliance
- Proper transmission of customer assets
- Liquidation of accounts
- Processing customer checks and securities
- Assessing a firm's regulatory funding for business operations
One of the great advantages of Series 28 courses is that they are based around your particular academic needs. If there are topics on the exam that are familiar to you, you do not need to invest as much time learning about them during Series 28 classes. Rather, you can spend the time in your Series 28 prep course investigating the topics that are most relevant to your study goals. In addition to focusing on the content that is most important for you, a Series 28 prep class can tailor your time to your learning style. Depending on how you process information the best, you can work through practice questions, watch videos about key topics on the exam, or read relevant materials in Series 28 prep courses. During Series 28 prep classes, you can receive live feedback from your tutor. The feedback you receive can help you to avoid bad habits and can help you develop your skills more efficiently.
All Series 28 prep classes take place online over our Live Learning Platform. This feature makes attending your Series 28 class much easier and removes a potential barrier to private tutoring. When you register for Series 28 courses, we will match you to a tutor who fits your availability as well as possible. We want your experience in a Series 28 class to be as flexible and convenient as it can be.
During your Series 28 class, you and your instructor can develop a study plan for your time. Based on your goals, these plans can help you break up your time into manageable portions. This can help make studying for the Series 28 exam feel less daunting and allow you to monitor your progress over time. Additionally, you can study in a more systematic and efficient manner. Because you work one-on-one in Series 28 prep classes, you and your instructor are also able to adapt your study plan if that is necessary.
Varsity Tutors offers Series 28 prep courses to help you through your study time. You can access robust information, effective tutoring, and a personalized environment. Educational Directors are available online or over the phone to answer any questions you may have or to help you register. Contact one today if you are interested in the benefits Series 28 prep courses offer for your study.
Mary: Series 28 course instructor
...customer business and attractive risk adjusted return on capital (RAROC). My career trajectory continued to expand beyond US domestic equity markets into global markets - Asia, Latin America, Europe as well as into other asset classes FX, Commodities, Fixed Income dictated by customer investment policies, the liberalization of markets, and the respective risk books. I accepted new business roles and appointments and was later recruited to work with other global derivatives groups (Deutsche, HSBC) overseeing...
Warren: Series 28 course instructor
I have enjoyed and prospered for 40 years in the security industry. If I can help another person have the same success then I have truly accomplished something. I attended the University of Illinois but my life education is from experience running brokerage and registered in vestment advisory firms. My approach to training starts with an understanding of the individuals needs from there we can structure an approach around the unique needs of each individual.
Education & Certification
- College of Financial Planning - Associate in Arts, Financial Planning
- Series 28
- Series 4
- Series 52
- +21 subjects