Series 28: Records Outsourcing

Taken from our Series 28 Online Guide

Records Outsourcing

If an outside recordkeeping service prepares or maintains the required records on behalf of a broker-dealer, the outside entity must file with the SEC a written agreement vowing to surrender the records upon request. The agreement must include the following provision:

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: Records Outsourcing, you might also be interested in:

Series 28 - SEC Recordkeeping Requirements

Series 66 - 5.1.4.2 Trust Tax Rates

Series 24 - 3.6.9.3.1. General Disclosures

Series 24 - 3.7.3. Short Positions in Margin Accounts

Series 65 - 6.3.1.1. Contributing to an IRA

Series 28 - Alternative Standard

Series 24 - 3.2.1.1.1. Transfer on Death Accounts

Series 24 - Regulation M and Market Manipulation

Series 50 - Types of Municipal Bonds

Series 53 - Odd First Coupon

Series 24 - Bond Mutual Fund Volatility Ratings

Series 51 - Municipal Securities Dealer

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

Gayle Espinosa. Los Angeles, CA

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 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

I passed the Series 63 with an 86. Your system rocks!!!

Edward Giaco, TaxCheck USA Investments Broadview Heights, OH

I passed the Series 6 (on my first attempt) with help from Solomon Exam Prep. The audio study book and online exams were the most beneficial tools for me, and would highly recommend Solomon to all of my Allstate colleagues.

Shy Singleton, Allstate, Jacksonville, Florida

For the Series 99 I bought and studied the STC and the Kaplan study manuals and test banks but I pattern matching questions versus fundamentally understanding the content. I stumbled upon the Solomon test bank during a Google search and I am glad that I did. The Solomon test bank went into a lot more detail in the answers which allowed me to better understand the actual content versus just pattern recognition in the questions. Some have said that the Solomon test bank is harder than the test which I think may be true but learning the content at this level of detail is how I was able to feel confident walking in and walking out with a pass on the first attempt.

Garry Kindred Denver, CO