Series 27: Six-Year Minimum

Taken from our Series 27 Online Guide

Six-Year Minimum

Every broker-dealer must preserve any account cards or records relating to the terms and conditions of the opening and maintenance of a customer’s account for not less than six years after the account is closed. All other customer account records must be preserved until at least six years after the date the account is closed, replaced, or updated, whichever is earliest.

SEC Rules 17a-4(c) and (e)

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Six-Year Minimum, you might also be interested in:

Series 66 - Tax Basis

Series 6 - 7.1.2. Nonsystematic Risks

Series 7 - 9.4.1.1.2. Operating Profit

Series 65 - Risk Tolerance

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my 27 and I can't thank you enough for the preparation materials, most importantly the Final Exams. I studied for weeks for this test and buckled down the last two weeks of 6 hour study days. It's a great feeling and I couldn't have done it without you!!!

Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

Last August 2020 I passed the Series 28 on the first try using your materials. I just wanted to drop in and let you know I passed the Series 27 exam today!! I am so happy today as I took the test in Jan of this year and missed it by 3 points. I switched up my focus and really zoned in the most heavily weighted chapters. This is by far the hardest exam I have taken. Thank you Solomon for your excellent study materials. I'll be back when I pass the next one ;)

Nikita Brown, BMI. Atlanta, GA

I would not have passed the Series 7 top off without the Solomon materials. The structure of the questions was the closest out of all the programs I tried and their customer support is top notch. I will definitely be back! Thank you!!

Lauren J, Westlake, TX

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA

I only used the exam simulator and it was the best decision I made! I read a different textbook and used Solomon solely for test prep questions. I promise you the $70 or so this cost is 100% worth it. Every question that I got on my exam (May 2020) was related to all the questions asked in the Solomon exam simulator. If you are willing to put in the work and take all of the chapter quizzes and then take 5 each of the time/not timed exams you will pass. Another good thing is that you can download their app and take exams on your phone - I found this very useful when I didn't want to always be on my laptop all day.

Nick Sciortino, Barrington, NJ

Thank you, Jeremy, and the Solomon Exam Prep team for your tremendous support - just passed Series 82 on my first try. Jeremy - your magnificent support was invaluable - right from the random "cold" query, via your website, in December down to the personalised care and coaching I received during my prep. Couldn't have nailed this without you & the team.

Shilpa Mathai, Applied Capital, Indianapolis IN

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 27: Six-Year Minimum

Taken from our Series 27 Online Guide

Six-Year Minimum

Since you're reading about Series 27: Six-Year Minimum, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →