Series 28: FINRA Recordkeeping Requirements

Taken from our Series 28 Online Guide

FINRA Recordkeeping Requirements

Where the rules do not explicitly state a time period, preservation of books and records required by the Exchange Act, its rules, and its regulations, and by FINRA must continue for a period of at least six years.

FINRA Rule 4511

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: FINRA Recordkeeping Requirements, you might also be interested in:

Series 24 - 4.6.5. Restrictions on Personal Trading by Research Analysts

Series 65 - 8.9.3. Registration of Broker-Dealers

Series 22 - Chapter Three

Series 24 - 5.10.6. Minimum Price Increments (Sub-Penny Pricing Rule)

Series 6 - 1.3.5.4. Communications Regarding Variable Insurance Products

Series 53 - Anti-fraud Regulation

Series 26 - Selling Agreement

Series 24 - Minimum Requirements

Series 7 - Exercise

Series 66 - 2.1.1.7. Preemptive Rights

Series 7 - 3.3.3.2.2 Oversubscription: Order Priority

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I took this Series 28 today and passed on my first try! I think the practice exams helped a ton, though in general, I would say the actual test seemed (at least to me), more difficult than the practice exams. Either way, couldn't have done it without the Solomon Exam Prep.

Gayle Espinosa. Los Angeles, CA

I wanted to let you know I passed my Series 28 today!! Thanks for great prep materials. I have been working really long hours at my job and it was a challenge finding the time to study. The video lectures proved to be a big help. I’m glad that exam is over!!!

Nikita Brown, BMI. Atlanta, GA

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 ;)

Nikita Brown, BMI. Atlanta, GA

I've used the Solomon exam prep materials for both my SIE and Series 6 exams and passed both on the first try! The audio materials are a lifesaver and a great resource to utilize, especially while driving. Also, your team is fantastic! I reached out through the "Ask the Professor" option while studying for the SIE and the response and additional help was exactly what I needed. I highly recommend Solomon! Thanks again!

Kristina Ribali, Modern Woodmen Fraternal Financial. Naples, FL

I was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

Special thanks to Solomon for ensuring I pass the 65! Trust in the material and you will pass. I bought multiple resources and by far, Solomon was the best. Thanks again.

Paige Robino, Fisher Investments, Plano, TX