FINRA Series 28 Practice Test & Mock Exam

Open Finance Prep for Series 28 practice tests, timed mock exams, topic drills, question-bank review, detailed explanations, and progress tracking across web and mobile. The questions on the free-practice page is scenario-based and outline aligned. They test introducing broker-dealer financial responsibility, net capital, books and records, reporting, custody limits, operational controls, and FINOP judgment, not trivia or puzzle questions.

Finance Prep’s FINRA Series 28 practice is original and provider-specific. Mastery Exam Prep / Finance Prep is independent from FINRA; public preview pages are not official FINRA Series 28 questions, copied live-exam content, or exam dumps.

Practice preview

Use this page to start the web app before longer mixed practice. For a public question-style check, use the quick review and the free-practice page in this exam section; the interactive app remains the primary practice path.

• cheat sheet : Key rules and formulas; practice with explanations.
• Free practice exam : Practice 95 free FINRA Series 28 sample exam questions across the official topic areas, with answers, explanations, timed mock exams, topic drills, and the Finance Prep next step.

What this Series 28 practice page gives you

• a direct web entry for Series 28 practice in Finance Prep
• a full-length free-practice page for introducing-firm FINOP decisions
• topic guidance for financial reporting, books and records, net capital, and customer-protection exemption logic
• a clear web preview path for previewing question style before deeper practice
• the same Finance Prep subscription across web and mobile

Series 28 exam snapshot

• Provider: FINRA
• Exam: Introducing Broker-Dealer Financial and Operations Principal Qualification Examination
• Practice reference: 95 practice questions in 120 minutes
• Registration context: FINOP route for introducing firms that do not carry customer assets

Topic weighting for Series 28 practice

What Series 28 is really testing

Series 28 is a control-and-classification exam. The candidate has to know what belongs to the introducing firm, what belongs to the clearing firm, how records and filings stay defensible, and how a smaller firm’s capital and cash-management decisions affect regulatory compliance.

How Series 28 differs from similar routes

How to use Series 28 practice tests efficiently

1. Start with net capital and books-and-records drills because those are the cleanest scoring areas.
2. Review every miss until you can explain whether the duty belongs to the introducing firm, the clearing firm, or both.
3. Move into mixed sets once you can switch between FOCUS logic, customer-protection exemption, and operational exceptions without hesitation.
4. Finish with timed mock exams so the 120-minute pace feels controlled.

Series 28 decision filters

• Introducing-firm scope: identify whether the issue belongs to introducing broker-dealer records, net capital, FOCUS reporting, or operational controls.
• Financial test: decide what must be calculated, reconciled, reserved, filed, or corrected before the firm can rely on the result.
• Books-and-records evidence: check whether the answer leaves enough records to support the firm’s financial responsibility.
• Escalation point: choose the response that protects the firm’s regulatory condition before a small discrepancy becomes a capital or filing issue.

When Series 28 practice is enough

Use varied mixed attempts to identify weak topics, correct guesses and answers you recognize. A practice percentage is not a validated prediction of passing; compare your work with the current official outline and use the study and review guidance to plan the next step. More practice should improve FINOP control judgment, not memorized filing labels.

Public previews and Finance Prep practice

• Live now: this practice bank is available in Finance Prep on web, iOS, and Android.
• Finance Prep practice: open the Finance Prep web app or mobile app for mixed practice tests, topic drills, and timed mock exams.

Good next pages after Series 28

• Series 27 if you are comparing the introducing-firm FINOP path against the carrying-firm route
• Series 99 if you want the operations-professional workflow page beside the FINOP path
• Series 14 if the real target is compliance-officer control rather than FINOP responsibility
• FINRA if you want the full principal, FINOP, and operations route map first

In this section

• Series 28 Cheat Sheet
  Compact FINRA Series 28 Cheat sheet for introducing broker-dealer FINOP candidates, covering net capital, customer protection, books and records, reporting, clearing relationships, and exam traps.
• Series 28 Study Plan
  Practical 7-, 14-, 30-, and 60/90-day study plan for the FINRA Series 28 exam, with daily practice rhythm, mock exams, and missed-question review.
• Series 28 — Introducing Broker-Dealer FINOP Exam Blueprint
  Practical Series 28 exam blueprint for FINRA candidates reviewing introducing broker-dealer FINOP duties, net capital, records, reporting, and operations.
• Series 28 Scenario Practice Guide
  Practical scenario-reading guide for FINRA Series 28 candidates preparing for financial and operations principal questions.
• Free FINRA Series 28 Practice Exam
  Practice 95 free FINRA Series 28 sample exam questions across the official topic areas, with answers, explanations, timed mock exams, topic drills, and the Finance Prep next step.
• Series 28 Official Resources
  Find official FINRA Series 28 resources to verify exam rules, registration, version details, and how to pair them with independent practice.