Series 7: 3.6.9 Rule G-9—Preservation Of Books And Records

Taken from our Series 7 Top-off Online Guide

3.6.9 Rule G-9—Preservation of Books and Records

Broker-dealers must preserve their records for various periods of time. The records of original entry, the account and securities records, the records concerning primary offerings, and the customer complaint records must be kept for at least si

+ Read More

More Series 7 Info

What are people saying?

Create an Account

Since you're reading about Series 7: 3.6.9 Rule G-9—Preservation Of Books And Records, you might also be interested in:

Series 24 - 5.5.2.2.1.3. Stop Orders

Series 66 - Holding Period Returns

Series 7 - Exercise

Series 6 - 1.3. Communications with the Public

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon is the BEST!!! Passed the Series 7 on the first try. The lessons are videos and lessons are good. The practice exams are EXCELLENT. Focus on options and muni's. Load up on practice exams and you will be fine. Thank you Solomon!!!

Brandon Collins, Benchmark. Memphis, TN

Jeremy, I passed the Series 7 yesterday with an 87% using only your book and online practice tests. Thanks!

Aaron Johnson, Humble, TX

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL

I passed the S7 TO first time it was introduced from last year. I have used several books and none of them could be as complete as this one. I am a living witness to the completeness of your course material. If that was not the case, I would not have passed this very difficult exam. I owe my success to your exam materials and no other book, from those I know have come close. I am going to study for the Series 66 through Solomon Exam Prep. If this can help me through, then I am sure many more people would also succeed.

Stalin Miki, Bankerslife, Miami, FL

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

Thank you so much Solomon Prep for helping me to be able to successfully pass all three of my exams (SIE, Series 7 and Series 66) in a relatively short period of time. The exam packages were excellent! I will continue to refer people to your amazing program!

Jessica Macci, Goldman Sachs. Albany, NY