Series 14: 3.1.2. General FINRA Recordkeeping Requirements

Taken from our Series 14 Online Guide

3.1.2. General FINRA Recordkeeping Requirements

Preservation of books and records required by the Exchange Act, its rules and regulations, and FINRA, for which the rules do not explicitly state a time period, must continue for a period of at least six years.

FINRA Rule 4511

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 3.1.2. General FINRA Recordkeeping Requirements, you might also be interested in:

Series 22 - 5.1.1. Types of Customer Accounts

Series 66 - Retirement

Series 65 - 2.8. Unsecured Bonds

Series 63 - Common Categories of Investment Advisory Fraud

Series 99 - 1.2.2.1.1 Special Kinds of Individual Accounts

Series 26 - Customer Ledgers

Series 7 - 3.6.21. Rule G-21—Advertising Must Be Truthful

Series 22 - Civil Liability for False Registration Statements

Series 66 - 9.5.3. Access to Records

Series 63 - 4.4.1.3.2 Trade Confirmations

Series 24 - FINRA Policy on Markups, Markdowns, and Commissions

Series 14 - 8.1. Opening an Account

Series 3 - 1.3.1. The Futures Exchange

Series 14 - 4.3.3.1. Short Selling Rules

Series 24 - Third Market

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

Recently passed the Series 24 Exam. I owe it to the Solomon Exam Prep series. The format of study and testing preparation was easy to follow and comprehend. I had taken the exam before and used study material through a different provider. It did not give me the sense of readiness in the "connection of the dots" and time-management like the Solomon series did. Such a relief to see the word PASS.

Hope Brackin, Cambridge Investment Research, Inc., Auburn, AL

Studying for the 24 was not easy. I felt Solomon's course materials and online portal prepared me well for passing the exam in the first try. The study material was NOT overwhelmingly thrown together and I found the study program to be manageable and focused. Got me through the study period of about 4-5 weeks. I would recommend Solomon over the other courses.

Ajay A, CT, Series 24

I had tried another learning system before Solomon and walked into the Series 24 unprepared and subsequently failed. After using the Solomon system for three weeks, taking full advantage of the app on my cell phone I walked into my second attempt very prepared for the type of questions I was going to see. Not only did I pass, I did so with confidence. Thanks so much Solomon!

Steven Eisner, Penn Mutual/HTK, Hauppauge, NY

I never would have passed the 79 if not for Karen and Solomon Exam Prep. Thanks guys!

Bob Vinson, Houston, TX

I am delighted to be able to tell you that I passed my Series 65 exam on my first attempt earlier today. Although I am an experienced adviser my work has previously all been in the UK and servicing UK Expats so have had no previous experience in the US or its regulatory framework. My only resource was the Solomon Exam Prep module for Series 65. It had everything I needed including prompt (super quick) responses to queries from real people. Even on a Sunday which I find incredible. A big thank you to you and the whole staff; I have recommended you to a number of people and will continue to do so; worth every penny.

Jonathan Brookes, Hoxton Capital, Austin TX