Series 7: 11.3.7 Holding Customer Mail

Taken from our Series 7 Top-off Online Guide

11.3.7 Holding Customer Mail

If a customer will not be available to receive mail from the member firm, the firm may hold the customer’s mail if these conditions are met:

• The customer requests it in writing. The written request must specify how long the mail is to be held.
• Mail can be held for a maximum of three months (total, not per request) unless the customer’s written request specifies a legitimate re

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I had a super rough go passing this (Series 7) exam due to a number of personal circumstances, but on my third attempt, I finally passed, with 30 minutes to spare! After my second failed attempt (I failed by ONE question), I spoke to Jeremy Solomon on the phone and via email, and he provided me with some strategies to help me pass the exam once and for all. I focused heavily on rereading the study guide, and teaching concepts to my spouse so that I wasn’t just learning the information, but really understanding it to the point where I could teach it to someone else. The exam simulators are super helpful, but don’t overdo it… this really isn’t the kind of test where you can only learn by doing practice questions. Re-watching the video lectures was very helpful for me as well. I also recommend making flash cards for memorization purposes. If you fail like me, don’t give up - perseverance (and more studying) will get you to the finish line!

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