Series 28 exam-day guide
Series 28 · Prepare for the day ahead.
Your checklist
Government-issued photo ID with signature
Bring a current, unexpired driver's license, passport, or state/federal ID. The name on the ID must match the name on your registration exactly (including middle name or suffix). Expired or photocopied IDs are normally refused.
Appointment confirmation / authorization to test
Print or have on your phone the confirmation showing your test window, test center address, and candidate/registration number. If you were authorized to test by a sponsoring firm, confirm the authorization is active before you travel.
Test center address and directions
Look up the specific testing location the night before, note parking or transit options, and build in extra time for security check-in. Test centers are often inside office buildings with limited signage.
Arrival time target
Plan to arrive at least 30 minutes before your scheduled start so there is time for ID verification and locker assignment. Confirm the exact check-in cutoff with the test provider, since late arrivals may forfeit the seat and the fee.
Knowledge of the exam's scope and format
Series 28 covers the financial and operational responsibilities of an introducing broker's financial and operations principal. Re-read the official content outline from the sponsoring regulator so your last review is aimed at tested topics, not general futures trivia.
Approved calculator / scratch materials
Many regulators supply an on-screen or center-issued calculator and scratch paper and prohibit bringing your own. Confirm the calculator policy for your provider before test day rather than assuming a personal calculator is allowed.
Storage plan for personal items
Phones, watches, notes, bags, and outerwear generally must go into a provided locker or be left outside the testing room. Leave anything you do not need at home to speed up check-in.
Light layers and water for before/after
Testing rooms are often cold and you cannot bring drinks to your workstation. Hydrate and eat beforehand; plan a snack for after the exam instead of during it.
Rest and a realistic night-before plan
Do not plan to learn new material in the last 12 hours. Finish review by early evening, confirm your alarm and ID are by the door, and prioritize sleep over one more practice set.
Retake and reporting logistics understood in advance
Know how and when your score is reported, what your firm needs from you, and what the retake waiting period and fee are if you do not pass. Confirm these specifics with the regulator or test provider rather than relying on secondhand information.
Plan the day
Confirm the appointment date, time, and center address in writing. Verify your ID is unexpired and the name matches your registration; if it does not, contact the provider immediately because this cannot be fixed on test day.
Shift from broad study to targeted review: take one full timed practice set, then spend remaining time only on the topics where you missed questions. Stop opening new topics you have not previously covered.
Confirm the calculator, scratch paper, and personal-item policies with the provider so you are not surprised at check-in.
Do a short, light review of formulas, recordkeeping and net capital concepts, and reportable-event items only. No new material, no all-nighter.
Pack your ID, confirmation, and directions; set out clothes; check the weather and transit or parking plan; set two alarms.
Get a full night's sleep. Fatigue costs more points than one extra hour of drilling.
Eat a normal meal, avoid heavy caffeine if you are jittery, and leave earlier than the mapping suggests so a delay does not become a forfeited seat.
Do not cram in the car or lobby. If you review anything, skim a one-page summary of your own weak spots and then put it away.
Present your ID, store personal items as directed, and follow proctor instructions. Ask the proctor any procedural question before the clock starts, not after.
Read the full question and every answer choice before selecting. Watch for qualifiers such as 'except,' 'best,' and 'most likely,' which drive many missed items on regulatory exams.
Answer every question on the first pass. Flag anything that requires a long computation and return to it only after the easier items are secured.
Check the time remaining at roughly the one-third and two-thirds marks and adjust your pace. Leave a few minutes at the end to confirm no question is unanswered.
Follow the provider's instructions on receiving your result and report the outcome to your firm as required. If you did not pass, note which topic areas cost you before the details fade, and confirm the retake window with the provider.
Rules to check
Bring a valid, unexpired government-issued photo ID with your signature; the name must match your registration. Candidates without acceptable ID are generally turned away and may forfeit the fee.
Personal items are not permitted at the workstation. Phones, smart watches, notes, and study materials must be stored as the test center directs; possession of a phone during testing is typically treated as a serious violation.
Do not communicate with other candidates during the test, do not attempt to record or transmit questions, and do not bring in unauthorized materials. Suspected misconduct can be reported to the sponsoring regulator and can affect your registration, not just your score.
The exam is scored on a pass/fail basis against a standard set by the sponsoring regulator, not against other candidates. Confirm the current passing standard and the number of scored versus pretest items with the regulator rather than assuming.
Most regulatory exams are strictly timed and the clock generally does not stop for unscheduled breaks. Confirm the break policy with the provider before test day, and assume that leaving the room costs you time.
If you need a testing accommodation, it must normally be requested and approved in advance with documentation. Confirm the deadline and process with the provider well before your appointment; it usually cannot be arranged on test day.
Follow the proctor's instructions exactly, including any request to empty pockets or turn out sleeves. Arguing procedure at the door risks your seat and is better resolved with the provider afterward.
Confirm with the provider, in advance, the retake waiting period, fee, and whether your firm's sponsorship or authorization must be renewed before you can reschedule.