Series 3: 7.3.8.3. Recordkeeping And Compliance

Taken from our Series 3

7.3.8.3. Recordkeeping and Compliance

An adequate compliance program for money laundering must include written requirements on the types of records that should be maintained and the location where they must be kept. Records must be maintained for five years and be readily accessible for the first two years.

FCMs and IBs must designate an indi

+ Read More

More Series 3 Info

What are people saying?

Create an Account

Since you're reading about Series 3: 7.3.8.3. Recordkeeping And Compliance, you might also be interested in:

Series 22 - Forwarding Securities Information and Proxy Materials

Series 6 - 7.1.1. Systematic Risks

Series 24 - Chief Compliance Officer and Compliance Certification

Series 79 - Chapter 10

Series 66 - 7.1 The Securities Act of 1933

Series 22 - Firm Commitment Underwritings

Series 24 - Appeals

Series 26 - Exercise

Series 65 - Marginable Securities

Series 66 - Section Three

Series 26 - Chapter 6 Practice Questions

Series 66 - Alternative Minimum Tax

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would heartily recommend Solomon for anyone studying for the Series 3. The materials are comprehensive, the bank of questions vast and the responsiveness to questions incredibly impressive and detailed. I passed first time and that in no small part is down to Solomon.

David Woolfenden Totem London

Great service, practice questions and mock exams were the key to passing. (Series 3)

Darragh Lenihan, Global Commodities Holdings Limited. Singapore

I initially studied using a different exam prep course (The Securities Institute of America). I waited until I consistently passed the practice exams with a score over 90% before I took the actual exam and unfortunately I failed the exam on my first attempt. I discovered and purchased the Solomon Exam Prep and immediately noticed the studying material was more in depth. I waited until my practice exam score was consistently over 85% and I went to take the actual exam and passed. Thank you so much!! (Series 3)

Joshua Turner, J.D. Turner Capital, LLC, Baltimore, MD

Just passed the Series 24 on my first attempt. Not an easy exam so put the time in. I used the Video Lectures and the Exam Simulator from Solomon. Great resources of information!

Shawn McClain, Natixis, Charlotte NC

I passed the Series 6 (on my first attempt) with help from Solomon Exam Prep. The audio study book and online exams were the most beneficial tools for me, and would highly recommend Solomon to all of my Allstate colleagues.

Shy Singleton, Allstate, Jacksonville, Florida

Solomon Exam Prep is the "go-to" study guide for any busy professional in our industry. Extraordinary customer service and responses to your questions via email. Excellent flow of subjects, quizzes, test and audiobooks for on-demand refresh. Don't settle for any other test platform for our industry. The goal is to pass the test and they have the staff and platform to help you achieve your goal.

Robert Jones, US Capital Global. San Francisco, CA