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

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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.

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