Series 14: 3.1.2.2.3. Five-Year Records

Taken from our Series 14 Online Guide

3.1.2.2.3. Five-Year Records

The Bank Secrecy Act mandates that all reports and documentation related to Monetary Instrument Logs (MILs), Currency Transaction Reports (CTRs), and Suspicious Activity Reports (SARs) be kept on file for five years from the date of the filing.

+ Read More

More Series 14 Info

What are people saying?

Create an Account

Since you're reading about Series 14: 3.1.2.2.3. Five-Year Records, you might also be interested in:

Series 24 - 2.5.2. Sanctions

Series 54 - Limitations on Gifts, Gratuities, and Non-cash Compensation

Series 24 - Transfer on Death (TOD) Accounts

Series 24 - 3.7.1.3. Loan Consent Agreement

Series 26 - Tentative Net Capital

Series 65 - 2.14 Foreign Bonds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I would like to say a big thank you to Solomon for helping me pass my Series 14 exam. I took this exam the first time and missed passing by few marks. I was really sad and discouraged so reached out to Jeremy Solomon and he really took the time to talk to me and provide his guidance and advice. He also provided me with additional resources immediately to help with my second attempt. I recently passed this exam. Their study material is easy to understand and the Online Exam Simulator also has a lot of questions chapter-wise which were very helpful. Their customer service has been amazing and very responsive. Thank you Solomon. I will definitely recommend Solomon for anyone planning to take this exam.

Rachna Shah, CBRE. Beverly Hills, CA

I only used the exam simulator and it was the best decision I made! I read a different textbook and used Solomon solely for test prep questions. I promise you the $70 or so this cost is 100% worth it. Every question that I got on my exam (May 2020) was related to all the questions asked in the Solomon exam simulator. If you are willing to put in the work and take all of the chapter quizzes and then take 5 each of the time/not timed exams you will pass. Another good thing is that you can download their app and take exams on your phone - I found this very useful when I didn't want to always be on my laptop all day.

Nick Sciortino, Barrington, NJ

I relied on the Solomon Exam Prep materials to pass the Series 79 and 63. The materials are first-rate, especially the practice exams, video lectures, and recommended study plans. The staff members (including the owner) were always responsive and helpful. Thank you, Solomon.

Bob Dale, Austin Dale Group, Austin, TX

I took my Series 24 on July 28 and passed!! I had not passed 2 prior Series 24 exams and was down to my last attempt. A fellow principal on my team who had not passed his Series 24 his first time told me about the Solomon practice tests and how they helped him. It was such a big help for me passing exam as the questions were structured more like the real exam than any other practice tests I’ve taken. I have since gone to other employees at my firm for other tests, such as the Series 7, SIE among others and have told them about the Solomon test materials and some of them are now purchasing Solomon as well.

Thadius Beavers, Prospera Financial. Dallas, TX.

I stuck to the outline day by day and it really helped me with sticking to a routine and curriculum. I passed the Series 24 on my 1st try! Would definitely recommend this to anyone in the Securities Industry.

Rima Mehta, PNC Investments, Charlotte, NC

Big thanks to Jeremy Solomon and Solomon Exam Prep w/o whose practice exams & books the Series 79 and Series 63 would be a suicide mission or death by boredom!

Andrew Romans, Los Altos, CA