Series 99: 2.4.3 Five-Year Records

Taken from our Series 99 Top-off Online Guide

2.4.3 Five-Year Records

The Bank Secrecy Act mandates that all reports and documentation related to Monetary Instrument Logs, Currency Transaction Reports, and Suspicious Activity Reports be kept on file for five years from the date of the filing.

+ Read More

More Series 99 Info

What are people saying?

Create an Account

Since you're reading about Series 99: 2.4.3 Five-Year Records, you might also be interested in:

Series 63 - Custody

Series 14 - 6.1.8.2. Rule 10b-5

Series 79 - Leading Indicators

Series 24 - 2.6. Maintaining Books and Records

Series 66 - Commissions and Fees

SIE - Par Value of Common Stock

Series 50 - Moral Obligation Bonds

Series 50 - Management’s Discussion and Analysis (MD&A)

SIE - 8.6.1. Anti–Money Laundering

Series 24 - Generic Advertisements

Series 26 - Receiving Payment

Series 27 - Subordinated Debt and Debt-Equity Requirement

Series 65 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my exam! The Solomon practice tests were equal or hard than the Series 99 questions which helped me crush it! Solomon was a 10/10 experience and I will definitely recommend it to any friends and work peers. It was lifechanging.

Alyssia Simpson. Denver, CO.

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

For the Series 99 I bought and studied the STC and the Kaplan study manuals and test banks but I pattern matching questions versus fundamentally understanding the content. I stumbled upon the Solomon test bank during a Google search and I am glad that I did. The Solomon test bank went into a lot more detail in the answers which allowed me to better understand the actual content versus just pattern recognition in the questions. Some have said that the Solomon test bank is harder than the test which I think may be true but learning the content at this level of detail is how I was able to feel confident walking in and walking out with a pass on the first attempt.

Garry Kindred Denver, CO

Great job with the Series 63 study material. I read the study guide, took notes against it, made flashcards and did tons of online tests just as the material suggested. Following the outline worked and I passed with plenty of room to spare. In particular, being able to access questions online is worlds better than how I remember studying for other exams in the past.

Tom L., Atlanta, GA

Solomon Exam Prep was great! I passed my Series 22 with their materials. I failed my first time taking the exam using the Securities Institute of America's material. I was completely shocked because I did well in all my practice exams. So, I did extra research and found Solomon Exam Prep. It was exactly like the FINRA outline which was perfect. Highly suggest Solomon Exam Prep for Series 22.

Becky Eriksson, Cabin Securities. Los Angeles, CA

Solomon's study materials and practice exam helped prepare me quickly and made me confident going into the SIE exam. I'm happy to have used their services and highly recommend their products for the SIE exam.

Kevin Ramani. Boston, MA