Series 22: 6.4. Maintaining Books And Records

Taken from our Series 22 Top-off Online Guide

6.4. Maintaining Books and Records

SEC Rules 17a-3 and 17a-4 describe a list of records that broker-dealers must keep and for how long. The general tier of recordkeeping is three years, six years, and lifetime. Additionally, the firm must keep most records easily accessible for the first two years. The exam will not expect you to know every record that must be kept and for how long it must be kept. However, the ones that are important follow.

+ Read More

More Series 22 Info

What are people saying?

Create an Account

Since you're reading about Series 22: 6.4. Maintaining Books And Records, you might also be interested in:

Series 66 - 4.2.4.1. Cash Flow/Income Statement

Series 65 - 1.4.3.4. Form 8-K

Series 51 - Rule G-17—Prohibition of Fraudulent Conduct

Series 7 - 13.2. Reporting Requirements

Series 65 - Federal vs. State Registration for IAs

Series 7 - 10.2.5. Purchasing Power Risk

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Recently passed the FINRA Series 22 Exam. Though the exam is short, the material is obscure and not what you deal with every day in the industry. Solomon did a great job of putting together material and providing a deep understanding. After about 6 weeks of studying and taking 2 practice exams a day, I passed the exam on the first try! Thanks for putting together a robust training product.

Eric Stroehle, Steelwater Wealth Management. Oakville, CT

I passed the series 22! Solomon's study materials and exams were the key to my preparation. I tried other companies first, and I knew something was off. After taking the FINRA exam, I know I would have failed if not for Solomon. I cannot overstate this. This test was difficult and foreign. Solomon helped me learn everything I needed to pass the series 22. Many thanks!

Jim Scott, AGES . Ocala, FL

Recently passed my Series 22 using the Solomon material. Failed the exam once previously using The Securities Institute of America material. Solomon gave me the tools in order to succeed and pass my exam. I highly recommend this material!

Cole Seelhammer. New Braunfels, TX

Solomon Exam Prep was great! I passed my Series 22 with their materials. I failed my first time taking the exam using the Securities Institute of America's material. I was completely shocked because I did well in all my practice exams. So, I did extra research and found Solomon Exam Prep. It was exactly like the FINRA outline which was perfect. Highly suggest Solomon Exam Prep for Series 22.

Becky Eriksson, Cabin Securities. Los Angeles, CA

I took the Series 63 and passed on the 1st attempt. I have my degree in Exercise Science and had no previous finance training. I highly recommend the Solomon Exam Prep. Followed the recommended study plan and passed 8 practice tests. The practice exams prepared me for the actual test and I felt like the actual test was easier then the practice tests. Thank you Solomon!

Gary Kilanowski. Scottsdale, AZ

Excellent! The Solomon curriculum prepared me well enough to make me feel comfortable during the actual exam. Practice questions and mock exams were challenging enough to test my knowledge but not too challenging to the point where I was discouraged.

Alex Syku. Easton, CT