Series 28: FINRA Recordkeeping Requirements

Taken from our Series 28 Online Guide

FINRA Recordkeeping Requirements

Where the rules do not explicitly state a time period, preservation of books and records required by the Exchange Act, its rules, and its regulations, and by FINRA must continue for a period of at least six years.

FINRA Rule 4511

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: FINRA Recordkeeping Requirements, you might also be interested in:

Series 63 - C.3 Presenting Performance Information

Series 26 - Restrictions on Business Expansion

SIE - 8.1. Opening an Account

Series 66 - 7.10.4. Agent Registration

Series 65 - The Price Declines

Series 65 - 5.2.1.3 Capital Growth

Series 65 - Exercise

Series 63 - Practical Application

Series 66 - 5.1.1.2.5. Stepped-Up Tax Basis on Inherited Securities

Series 3 - 1.3.4.4.6. Basis Grade

Series 24 - Super Account Administration Entitlement Form

Series 79 - Organizational Structures

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I passed my series 6 exam due to the Solomon Exam Prep online material and practice exams. Thank you Jeremy Solomon for personally calling and emailing me some tips/advice!

Kevin Lafleur, WoodmenLife, Ville Platte, LA, Series 6

After trying numerous study materials, Solomon was the key to pass my Series 24. The live class was a perfect complement. Thank you Karen for your assistance!

Marie, Miami, FL

I originally started studying for the series 24 with Test Teachers... After being frustrated with confusing material, out of date information, contradicting questions/answer/study guides, I bought Solomon's practice exams... After one test, two things became clear: I was grossly unprepared for the exam The material, though difficult, didn't have to be taught in such a confusing manner.I passed the 24 on the fist time because of the quality of the practice exams from Solomon. Thank you! Putting it another way...If you are using anyone else to study, you owe it to yourself and your efforts to buy the practice exams from Solomon to get a true judge of your studying efforts.

Will, Bainbridge Island, WA