Series 99: 1.2.3.6.2 Changes In Preservation Of Customer Accounts

Taken from our Series 99 Top-off Online Guide

1.2.3.6.2 Changes in Preservation of Customer Accounts

Firms must preserve a record of the customer account information and any updates for at least six years after the date the account is closed. Any time the account information is updated, the information must be preserved for at least six years after the update.

FINRA Rule 4512

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I studied for both the SIE and the Series 99 with Solomon. Both texts more than prepared me for the exam. The practice questions in particular were extremely helpful and were even a bit more challenging than the actual exams. After reading and annotating both textbooks twice and taking each quiz multiple times to the point that I received high scores on each, I was confident taking the exam. Although there were a few questions here and there on the exams that seemed to be outside the scope of the material and had some differently worded questions, the quiz questions were quite in line with the actual exam. I passed both exams my first try. I highly recommend Solomon study material.

Eric Cunningham PNC Pittsburgh, PA

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Garry Kindred Denver, CO

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Matthew Bird, Lincoln Investment. Liverpool, NY.

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