Series 28: Preservation Of Customer Accounts

Taken from our Series 28 Online Guide

Preservation of Customer Accounts

Firms must preserve a record of the customer account information and any updates for at least six years after the date the account is closed. Any time the account information is updated, the original information must be preserved for at least six years after the update.

FINRA Rule 4512

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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

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Jodee Hempel, Woodmen Financial Services. Omaha, NE