Series 27/28 Financial & Operations Principal (FINOP)
MGL Consulting Corporation will offer a preparatory FINRA Series 27/28 classroom training session. This two-day seminar will be held at the Hampton Inn & Suites, 26 Mill River Street, Stamford, CT.
This customized seminar will help prepare attendees to function as Chief Financial Officers or Financial & Operations Principals (FINOP) of a FINRA member firm.
A FINOP oversees a firm’s financial and operational activities to ensure they comply with SEC and FINRA responsibility rules and requirements.
Areas of discussion will include:
- Net Capital Rules
- Recordkeeping and Reporting Responsibilities
- Customer Protection
- Other SEC and FINRA/NASD Rules
- Uniform Practice Rules
- Municipal Securities Rules
If you are planning to sit for the Series 27 exam, it is recommended that you spend approximately 40 - 60 hours reading the pre-study material and answering the questions, prior to attending the class.
If you are planning to sit for the Series 28 exam, it is recommended that you spend approximately 30 - 40 hours reading the pre-study material and answering the questions, prior to attending the class.