Series 3: 7.3.4. Recordkeeping Requirements

Taken from our Series 3

7.3.4. Recordkeeping Requirements

All books and records must be kept for a period of five years, and they must be kept readily accessible during the first two years. These books and records must be open to inspection by any representative of the CFTC or the U.S. Department of Justice.

CFTC Regulation 1.31

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.4. Recordkeeping Requirements, you might also be interested in:

Series 6 - 2.1.3.1. Customer Identification Verification

Series 66 - Investment Policy Statement

Series 65 - Exercise

Series 51 - Opening Institutional Customer Accounts

Series 6 - 5.3. Unit Investment Trusts (UITs)

Series 7 - Exercise

Series 66 - Exercise

Series 66 - Trust Accounts

Series 99 - 2.3.2.3 Permissible Use of Customers’ Securities

Series 6 - 7.4.1.5.3. Measures of Profitability

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

I just passed my Series 26, Principal license. Thank you Solomon, the content was great and the exam simulator was the perfect tool to get this passed!

Greg Fierle, American Fidelity. Springboro, OH

Fantastic study materials. The practice test questions were close to the exam questions and I was not surprised when I took my exam. I would recommend Solomon to anyone studying for their 6.

Wendy Clark, MetLife, Charlotte, NC

Had a challenge the first time with another provider and switched to Solomon. I found Solomon materials to be more comprehensive and the videos were a big help for the way I learn. Thanks to everyone at Solomon for going the extra mile.

Ray Catone, Fort Lauderdale, FL

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 3: 7.3.4. Recordkeeping Requirements

Taken from our Series 3

7.3.4. Recordkeeping Requirements

Since you're reading about Series 3: 7.3.4. Recordkeeping Requirements, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →