# [Series 65] 61, Recordkeeping and Books and Records Requirements

Page: https://stenobird.com/podcast/open-exam-prep-7140559/series-65-61-recordkeeping-and-books-and-records-requirements
Text version: https://stenobird.com/podcast/open-exam-prep-7140559/series-65-61-recordkeeping-and-books-and-records-requirements.md
Podcast: [Open Exam Prep](https://stenobird.com/podcast/open-exam-prep-7140559)
Published: 2026-05-24T01:01:53+00:00
Episode link: https://open-exam-prep.captivate.fm/episode/series-65-61-recordkeeping-and-books-and-records-requirements
Audio file: https://episodes.captivate.fm/episode/603a670c-1245-4d73-9524-bc8bfcaa7ee8.mp3
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JSON: https://stenobird.com/v1/public/podcasts/open-exam-prep-7140559/episodes/series-65-61-recordkeeping-and-books-and-records-requirements
Duration seconds: 243

## Resource

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The five-year record retention rule and the specific two-year accessibility requirement. - Key records advisers must maintain, including financial statements, client agreements, and communications. - The strict standards for electronic recordkeeping, specifically the WORM (Write Once, Read Many) format. - Common exam traps, such as the fiscal year start date for retention and the requirement to keep performance ad backup data. - That failure to maintain records is a standalone violation, regardless of client outcomes. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep

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## Transcript

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