Series 28: Six-Year Minimum

Taken from our Series 28 Online Guide

Six-Year Minimum

Every broker-dealer must preserve any account cards or records relating to the terms and conditions of the opening and maintenance of a customer’s account for not less than six years after the account is closed. All other customer account records must be preserved until at least six years after the date the account is closed, replaced, or updated, whichever is earliest.

SEC Rules 17a-4(c) and (e)

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I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

Gayle Espinosa. Los Angeles, CA

I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

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Nikita Brown, BMI. Atlanta, GA

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