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Mastering Series 27: Financial and Operations Principal Exam Prep Table of Contents Chapter 1: Introduction to Series 27 Exam.. 1 Chapter 2: Regulatory Framework and Industry Standards. 5 Chapter 3: Firm Operations and Recordkeeping. 10 Chapter 4: Capital and Margin Requirements. 15 Chapter 5: Customer Protection and Investor Education. 20 Chapter 6: Trading and Market Regulation. 25 Chapter 7: Financial Responsibility Rules. 29 Chapter 8: Supervision and Compliance. 34 Chapter 9: Business Expansion and Acquisitions. 39 Chapter 10: Ethics and Professional Conduct 43 Chapter 11: Series 27 Practice Exams. 47 Chapter 12: Series 27 Exam Tips and Test-Taking Strategies. 54 Chapter 13: Final Exam Preparation and Test Day Tips. 61 Chapter 14: Series 27 - FAQ and Additional Resources. 65 Chapter 15: Series 27 - Mock Exam and Review.. 69