Series 28 Introducing Broker-Dealer Financial and Operations Principal Certification Exam

Series 28 Introducing Broker-Dealer Financial and Operations Principal Proficiency with securities regulations, accounting fundamentals, and compliance frameworks forms the expected starting point. The Series 28 assumes you’re comfortable interpreting financial statements, grasping margin requirements, and navigating SEC rule changes. Without solid grounding in broker-dealer operations and basic securities law, the operations principal responsibilities—capital adequacy, customer protection rules, net capital calculations—become significantly harder to contextualize during test day.