Series 27: Preservation Of Customer Accounts

Taken from our Series 27 Online Guide

Preservation of Customer Accounts

Firms must preserve a record of the customer account information and any updates for at least six years after the date the account is closed. Any time the account information is updated, the original information must be preserved for at least six years after the update.

FINRA Rule 4512

+ Read More

More Series 27 Info

What are people saying?

Create an Account

Since you're reading about Series 27: Preservation Of Customer Accounts, you might also be interested in:

Series 65 - 6.4.1 529 College Savings Plans

Series 24 - Bond Offerings

Series 65 - 6.1.1.2.2.2. Capital Gains on the Sale of Mutual Fund Shares

Series 7 - 14.9.1. Account Transfers

Series 65 - 2.15 Municipal Bonds

Series 66 - Definition of Investment Adviser

Series 26 - Sanctions Against Broker-Dealers

Series 53 - Exercise

Series 53 - Sharing in Profits or Losses

Series 24 - 5.6.5. Levels of Nasdaq Service

Series 65 - Cumulative Preferred Stock

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 passed my 27 and I can't thank you enough for the preparation materials, most importantly the Final Exams. I studied for weeks for this test and buckled down the last two weeks of 6 hour study days. It's a great feeling and I couldn't have done it without you!!!

Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

I love Solomon Exam Prep! The materials are comprehensive and simulate the type of questions on the tests. And the staff is so committed to their students' success. Without them, I wouldn't have been able to pass both the 7 and the 66.

Katelyn Hritcko, Elmcore Securities, Las Vegas, NV

I studied for the Series 7, 79, and 82 with Solomon Exam Prep, and I never scored lower than a 90% on the actual exam! The Study Guides are easy to understand, and the Online Exam Simulator really prepares you. I just purchased the Series 24 Essential Package today!

Michael McGregor, Focus Bankers, Charlotte, NC

Recently passed the Series 24 Exam. I owe it to the Solomon Exam Prep series. The format of study and testing preparation was easy to follow and comprehend. I had taken the exam before and used study material through a different provider. It did not give me the sense of readiness in the "connection of the dots" and time-management like the Solomon series did. Such a relief to see the word PASS.

Hope Brackin, Cambridge Investment Research, Inc., Auburn, AL

Very excited to pass the Series 66! The Solomon practice exams were very helpful to understand the concepts and fundamentals of the questions. I would highly recommend Solomon Exam Prep for all FINRA exams. Make sure to have a good grasp on agent registration and suitability when taking the 66. Thank you Solomon!

Blake Rossman, TrueWealth. Bellevue, WA