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.

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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

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Gayle Espinosa. Los Angeles, CA

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

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