Series 26: FinCEN Records And Reports

Taken from our Series 26 Online Guide

FinCEN Records and Reports

Every registered broker-dealer that is subject to the requirements of the Bank Secrecy Act must comply with the reporting, recordkeeping, and record retention requirements of the Financial Crimes Enforcement Network (FinCEN) regulations. The general rule is that any records having to do with anti-money laundering or terrorism must be kept for five years.

A mutual fund reporting suspicious activities, for example, must maintain a copy of any Form SAR-SF filed by or for the fund and the original of any supporting documentation fo

+ Read More

More Series 26 Info

What are people saying?

Create an Account

Since you're reading about Series 26: FinCEN Records And Reports, you might also be interested in:

Series 24 - Preferred Stock

Series 99 - 3.3.2.5 Telemarketing

Series 24 - Cheap Stock Rule

Series 66 - Exercise

Series 79 - A.8.3.2. Cost Basis After a Stock Split

Series 65 - Chapter 1 Practice Questions

Series 24 - Splitting Orders or Executions for Personal Gain

Series 65 - 6.5 Health Savings Accounts

Series 26 - Receiving Payment

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 26 today with a score of 82%. Your exam simulator helped tremendously.

Ray Pecharich, Primerica, Sarasota, Florida

I was having a tough time with the series 26 material. It had been 10 years since I had last studied for a test. I used other material of some big name companies that did not help me to understand what the test was asking. I purchased the Question bank from Solomon and I truly believe it is one of the reasons I was able to power through the exam. The questions were more challenging then the actual test itself which really helped me when it came to crunch time.

Ryan Schlagenhauf, Prudential, Shelton, CT

The virtual class and the test questions really helped me pass the Series 26. Thank you.

Todd Brubaker, Western & Southern Life, Akron, OH

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR

Solomon Exam Prep was the ticket to passing my Series 26 test. I would like to thank you all for your help! I highly recommend your study material for the FINRA exams.

David H. Viar, Farm Bureau Financial Services, West Des Moines, IA

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