Use these official resources as your source of truth.
Quick links:
Official source set
Enrollment, scheduling & exam day
What to confirm before you book
- confirm that your firm scope matches the narrower introducing-firm FINOP lane
- confirm that the firm does not carry customer accounts or hold customer funds or securities
- confirm the current item count, time limit, and passing score from the live FINRA page
- confirm any validity issue only if it actually applies to your registration history
Route-choice check
- choose
Series 28 if the role is the narrower introducing-broker FINOP path - choose
Series 27 if the role is broader and the firm’s activities go beyond the limited Series 28 perimeter - do not confuse
Series 28 with a general supervision exam; it is a financial-responsibility and operations-control exam
Strongest use of the official source set
- Start with the FINRA Series 28 page to confirm route fit.
- Read the outline PDF and note the four functions and their weight.
- Use Rule 1220 only after you are clear on the limited-scope FINOP lane.
- Use the logistics links only when you are actually ready to schedule.
Common weak resource habits
- studying the outline before checking route fit
- assuming Series 28 is just Series 27 with less math
- missing the introducing-firm boundary
- spending too little time on net capital and operations