Series 27: FinCEN Records And Reports

Taken from our Series 27 Online Guide

FinCEN Records and Reports

Every registered broker or dealer that is subject to the requirements of the Bank Secrecy Act must comply with the reporting, recordkeeping, and record retention requirements of the Code of Federal Regulations (CFR). Where federal regulations and SEC rules require the same records or reports to be preserved for different periods of time, those records or reports must be preserved for the longer period of time.

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: FinCEN Records And Reports, you might also be interested in:

Series 7 - 16.3.2.1 Designated Roth Accounts Within 401(k), 403(b), and 457 Plans

Series 82 - 3.3.2. The Bond Indenture

Series 79 - Additional Paid-In Capital

Series 24 - 4.2.10. Rule 144—Resales of Restricted and Control Securities

Series 7 - 9.4.1.5.5. Market Value vs. Book Value of an Equity Security

Series 65 - 1.4.1.5.1 Working Capital

Series 79 - 9.5.7. Methods of Retention

Series 63 - 2.1.2.5. Post-Registration Requirements

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

Used Solomon for my second & third time. First time I used a different company & day of test, I had no idea what I was reading. Second time, I bought Solomon a little too close to my test date, failed but had a higher score. Third Time, used strictly Solomon & passed! Cant thank Solomon enough, will recommend to everyone!

Ashley F, Citi. New York, NY

I passed the Securities Industry Essential (SIE) exam on my first try. Now, I am studying for the next license exam, the top off exam, Series 7. Thank you Solomon Exam Prep. I am glad I bought the 1) SIE Video Premium Study Package, 2) SIE Flashcards, and, especially, 3) the hard copy. I will probably buy the same for Series 63, 7 and probably no more than two more over the next three years.

Stephen Campbell, Plano, TX

I just passed the series 24! It is, by far, the hardest test that I have ever taken. I had failed it 4 times using other study materials. I have never felt more defeated! Solomon Exam Prep is the best! I took over 154 practice tests...without seeing the same question twice. I was able to finally grasp the material and passed! My only regret is that I did not use the Solomon Exam Prep on my first attempt!

Bill Harpe, Capital Choice. Greensboro, GA

Passed the Series 6 exam! The study material and practice exams are the best. If you're an Allstate agent needing the SIE & the Series 6, Solomon is the way to go!

Christopher McHugh, McHugh Insurance Group, Inc., Boca Raton, FL