Official Series 28 resources for the FINRA Introducing Broker-Dealer FINOP exam, including exam facts, content outline, no-corequisite status, scoring, registration logistics, and study checkpoints.
Use these official resources as your source of truth.
Quick links:
| Resource | Why it matters |
|---|---|
| Series 28 exam page (FINRA) | Best starting point for current structure, introducing-firm role framing, and eligibility summary. |
| Series 28 Content Outline (PDF) | Best source for weighting, detailed topic coverage, and sample-item style. |
| FINRA Rule 1210 | Registration framework and exam-process rules. |
| FINRA Rule 1220 | Core rule family for registration and principal-role framing. |
| FINRA exam credit and validity | Use only if you have a specific prior-exam or lapse issue. |
| Fact to confirm | Current FINRA reference point |
|---|---|
| Registration | Introducing Broker-Dealer Financial and Operations Principal. |
| Item count | 95 items. |
| Time limit | 120 minutes. |
| Passing score | 69%. |
| Corequisite | None. |
| Largest function | Net capital. |
| Firm boundary | Introducing broker-dealer that does not carry customer accounts or hold customer funds or securities. |
| Outline area | Convert it into this question |
|---|---|
| Financial reporting | What statement, filing, or report purpose is being tested? |
| Operations and books and records | What workflow, preservation, correction, or evidence requirement applies? |
| Net capital | What must be classified before any number is computed? |
| Customer protection, funding, and cash management | What changes because this is an introducing-firm FINOP lane? |
Series 28 if the role is the narrower introducing-broker FINOP pathSeries 27 if the role is broader and the firm’s activities go beyond the limited Series 28 perimeterSeries 28 with a general supervision exam; it is a financial-responsibility and operations-control exam