Series 27: Six-Year Minimum

Taken from our Series 27 Online Guide

Six-Year Minimum

Every broker-dealer must preserve any account cards or records relating to the terms and conditions of the opening and maintenance of a customer’s account for not less than six years after the account is closed. All other customer account records must be preserved until at least six years after the date the account is closed, replaced, or updated, whichever is earliest.

SEC Rules 17a-4(c) and (e)

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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 ;)

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