Series 14: 3.1.2. General FINRA Recordkeeping Requirements

Taken from our Series 14 Online Guide

3.1.2. General 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

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 3.1.2. General FINRA Recordkeeping Requirements, you might also be interested in:

Series 65 - 7.3.15 Portfolio Benchmarks

Series 65 - 10.6.1. Requirements for State-Registered Investment Advisers

Series 65 - 10.10.5 Suitability

Series 82 - Speculation

Series 24 - 3.2.1.3. Multiple Individual Accounts

Series 7 - 10.4.3.2 Liquidity Needs

Series 65 - Important Leading Indicators

Series 66 - 4.5.2 Sector Rotating

Series 79 - 10.7. Registration Exemptions for New Offerings

Series 82 - 4.7.2.2. BrokerCheck Disclosure

Series 50 - MSRB Qualification Rules

Series 66 - Calculating the Future Value (of a Present Sum)

Series 27 - Notification of Failure to Make a Required Deposit

Series 54 - 1.1. Overview of U.S. Securities Regulation

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

All test from FINRA should never be taken lightly. The Solomon course work and exercise materials prepared me well for the SIE exam of which I passed the first time. I am onto prepping for the Series 79 and will once again use Jeremy Solomon’s resources and program. Thank you, Jeremy, for the outstanding support!

Constantino (Tony) Quintong Jr, Securieon Group. Carmel by the Sea, CA

My sincere thanks and appreciation to the team at Solomon. I've used your materials to pass the SIE and Series 6, both on the first try, and today with your help, I have passed the Series 26 exam on the first try as well! Thank you for the excellent materials and assistance!

Kristina Ribali, MWA Financial Services. Ave Maria, FL

I passed my series 6 exam due to the Solomon Exam Prep online material and practice exams. Thank you Jeremy Solomon for personally calling and emailing me some tips/advice!

Kevin Lafleur, WoodmenLife, Ville Platte, LA, Series 6

I utilized a competitor's product and failed the first time I took the Series 53. It wasn't from the lack of studying. After researching what other courses to buy, I luckily found Solomon. The exam material was up to date and the practice exams were much more challenging than the other program. I would highly recommend Solomon and plan on utilizing them if I should have to take another exam. Thank you.

Andrew Shubert, Craft Capital Management, Garden City, NY

I came into my studies with very little experience. With the amazing help and support from the Solomon Team I passed the SIE on my first attempt. I am extremely grateful for the study material that Solomon has provided. I am onto the 7 TO.

Wc Harbert, RBC. Eugene, OR

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

Series 14: 3.1.2. General FINRA Recordkeeping Requirements

Taken from our Series 14 Online Guide

3.1.2. General FINRA Recordkeeping Requirements

Since you're reading about Series 14: 3.1.2. General FINRA 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 →