Series 14: 3.1.2.2.3. Five-Year Records

Taken from our Series 14 Online Guide

3.1.2.2.3. Five-Year Records

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

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 3.1.2.2.3. Five-Year Records, you might also be interested in:

Series 66 - Additional Fees

Series 66 - 1.3.1.2.3. Regulatory Risk

Series 14 - 4.1.8.1. Minimum Requirements

Series 22 - 1.1. DPP Investment Entities

Series 26 - Sanctions Against Broker-Dealers

Series 66 - Appendixes

Series 66 - Planning for a Specific Event

Series 63 - Chapter Four: Communications with Clients and Prospects

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

Thanks for your help. I passed my Series 6 test! Couldn't have done it without Solomon Exam Prep study materials.

Joshua J. Parsons, Redbud Financial Group, Oklahoma City, Oklahoma

I must say, I don’t think I could have done it without your material. Bob Pisani did a great job explaining options in his video and the material was written so well, it was very easy to understand. The book was much easier to read and understand compared to the few Kaplan materials that I ordered. In addition, the Ask the Professor tool was great!

Alexandria Dotson, PNC Bank, Wheaton, IL

I used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA

Solomon has a dedicated team of professionals who prepare the written materials, present video summaries and provide practice exams in 4 different formats and are available anytime to answer questions and clarify materials. Thanks to a robust study program I felt fully prepared and confident to write the Series 82 exam and achieved a score of 87%. Thank you Solomon Exam Prep.

Karen Powell, Wren Capital LLC, NY, NY

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