Series 99: 1.2.3.6 FINRA Recordkeeping Requirements

Taken from our Series 99 Top-off Online Guide

1.2.3.6 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

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I passed my exam! The Solomon practice tests were equal or hard than the Series 99 questions which helped me crush it! Solomon was a 10/10 experience and I will definitely recommend it to any friends and work peers. It was lifechanging.

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Garry Kindred Denver, CO