SPAM 6-5-4-3-2. B/D Record Retention. SIE Exam, Series7 Exam, Series 10 Exam, Series 24 Exam

[@Daddyfinger6]

Love the acronym- thanks. Series 7 in one week. Thanks for all that you do. Fantastic supplements. Used your code for Kaplans series 7/66 bundle

[@Series7Guru]

Glad you found it helpful.

[@fradidababneh9587]

Passed the SIE today. Thanks for everything. Watched the SIE video breaking down the outline few hours before the exam and definitely helped with a bunch of questions

[@Series7Guru]

Kudos on your first testing victory! What's your next testing victory? 6? 7? Always very gratifying when my videos contribute to test taking victories like yours.

[@fradidababneh9587]

@@Series7Guru 7, then 66. Gonna be watching a lot more of your videos starting tomorrow. Quick question, when you are breaking down the finra outline you always mention that there is a bigger version that you go in depth with, how do I find or get access to? Thank you

[@Series7Guru]

Those are my video lectures found in the seperate video lecture playlist

[@1027chad]

Passed my 66 today! Thanks for everything, Dean!

[@Series7Guru]

Kudos Investment Advisor Representative!

[@emptyxnes]

This is great thank you Dean. Besides MSRB record retention for customer’s complaint being 6, are the rest the same?

[@Series7Guru]

Yes

[@lyndacommale7216]

Hi Dean - thank you for all your wonderful videos. Form BD and Form BDW - any idea what the recording requirement is for those forms? I can't seem to find them anywhere. Many thanks.

[@Series7Guru]

Not sure what ypu mean? Not testable. The forms are sent to the appropriate regulatory authorities

[@lyndacommale7216]

@@Series7Guru I had it on exam. Missed by 2 points :(

[@Series7Guru]

@@lyndacommale7216 damn. That hurts for sure.

[@davidcarbone4573]

so good. thx

[@Series7Guru]

De nada

[@LizNico]

Dean - I see others saying customer ledger/statements is 3 years but you are certain it's 6? Your rationale makes sense (arbitration)

[@Series7Guru]

It is 6.

[@LizNico]

@@Series7Guru Thank you - your vids are tremendously helpful you have a wonderful presentation style and your stories are a great help!

[@derekchecketts8461]

Do you think Kaplans CRPC Designation is a good idea for someone who just passed the 66. Not a college Grad. or would it be better to chase the degree first? I know I'm outside of the scope of your Channel.

[@Series7Guru]

Get the degree first

[@ellll03434]

I got a question asking if the firm doesn’t know how long to hold a record . Finra wants the firm to hold it for how long ? Also can someone who has trading authorization submit a customer complaint ?

[@Series7Guru]

3 years and yes.

[@ellll03434]

Thank you ! I failed with a 71% today it was awful 😔

[@Series7Guru]

@@ellll03434 kzbin.info/www/bejne/iJPOdml3o9Ojipo

[@LizNico]

@@Series7Guru In addition, FINRA Rule 4511 requires firms to preserve for a period of at least six years those FINRA books and records for which there is no specified retention period under the FINRA rules or applicable Exchange Act rules.

[@nicomanuel7298]

Thank you, really quick and insightful!