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 24 - Broker-Dealer Registration

Series 50 - Cost of Issuance of Private Activity Bonds

Series 24 - FINRA Quotation Rules

Series 24 - 5.5.2.2.1.2. Limit Orders

Series 54 - Securities Exempt from Registration

Series 28 - Financial and Operations

Series 24 - Approval and Recordkeeping

Series 53 - Preliminary Official Statement

Series 50 - Powers of the Municipality

Series 24 - 4.6.4. Restrictions on the Publication of Research Reports and on Public Appearances

Series 66 - Management Company Rules

Series 3 - 7.3.2.1. Customer Transactions Cost Disclosures

Series 65 - 2.8.1. Debentures

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

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 just passed my Series 26, Principal license. Thank you Solomon, the content was great and the exam simulator was the perfect tool to get this passed!

Greg Fierle, American Fidelity. Springboro, 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

I passed the Series 7 on my first attempt. In fact, five years ago, I also passed both the Series 6 and 63 on my first attempt. In all cases, I used Solomon Exam Prep materials which make sometimes 'dry' topics much more readable. Also, having the option to take an unlimited number of practice tests and receive immediate, thorough feedback was invaluable. I highly recommend them!

Blaine Burnett

The Series 79 can be quite tricky, thankfully Solomon Exam Prep had practice test questions that were just as tricky. Solomon's Test Prep is definitely effective and is less expensive than other Test Prep companies.

Justin Jeangerard, Sundial Group, Ft. Lauderdale, FL