Series 28: Lifetime Requirement

Taken from our Series 28 Online Guide

Lifetime Requirement

Every broker-dealer must preserve during the life of the enterprise:

  • All partnership articles, articles of incorporation, or charters
  • All minute books of board or partnership meetings
  • All stock certificate books
  • All Forms BD and BDW and amendments to these forms

Since you're reading about Series 28: Lifetime Requirement, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 28
Please Enable Javascript
to view this content!