Series 27/28

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The Series 27 exam—the Financial and Operations Principal Qualification Examination (FN)—assesses the competency of an entry-level financial and operations principal (FINOP) candid

ate to perform his or her job as a FINOP. The exam measures the degree to which each candidate possesses the knowledge and understanding of the financial responsibilities, rules and recordkeeping requirements of broker-dealers.

The Series 27 consists of 145 scored questions and an additional ten unscored pretest questions. 

Candidates have three hours and 45 minutes to complete the exam. The passing score is 69 percent.

The Series 28 consists of 95 scored questions. Candidates have two hours to complete the exam. The passing score is 69 percent.

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