Series 28: FinCEN Records And Reports

Taken from our Series 28 Online Guide

FinCEN Records and Reports

Every registered broker or dealer that is subject to the requirements of the Bank Secrecy Act must comply with the reporting, recordkeeping, and record retention requirements of the Code of Federal Regulations (CFR). Where federal regulations and SEC rules require the same records or reports to be preserved for different periods of time, those records or reports must be preserved for the longer period of time.

+ Read More

More Series 28 Info

What are people saying?

Create an Account

Since you're reading about Series 28: FinCEN Records And Reports, you might also be interested in:

SIE - 5.1.1.2.2. Business Risk

Series 26 - Change of Ownership or Control, Material Change in Business Operation

Series 63 - Appendixes

Series 79 - Other Records (Various Retention Periods)

Series 26 - FINRA Public Communications Categories

Series 82 - Chapter Three

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

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 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

I passed the SIE on my first attempt thanks to Solomon Exam Prep's structure and chapter guides consolidating a large amount of information into easy to learn material. I did not study finance in College and have been in Compliance for the better part of my career. This has been a validating experience thanks to Solomon Exam Prep.

Marlon Gonzalez-Perez, Tradition. New York, NY

Taking the Series 24 class with Karen Solomon this week helped reinforce the data that I learned, and I passed my exam! The material was thorough and the exam simulator was an excellent tool to test your knowledge. Thank you Karen!

Karen Lessard, Concorde Investment Service Frisco, TX

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY