Series 6: 7.5.3.4. Four-Year Records

Taken from our Series 6 Top-off Online Guide

7.5.3.4.  Four-Year Records

Customer complaint records shall be kept at the Office of Supervisory Jurisdiction (OSJ) under whose jurisdiction the complaint was filed and maintained for at least four years.

Since you're reading about Series 6: 7.5.3.4. Four-Year Records, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 6
Please Enable Javascript
to view this content!