7. Customer Communications and Disclosures

In this section

• 7.1 Types of Communications
  • Retail Communications: Mastering FINRA Rule 2210 for Series 6 Exam Success
    Understand retail communications, including advertisements, sales literature, and approval requirements, with insights on FINRA Rule 2210 for the Series 6 Exam.
  • Correspondence in Securities Communication: Mastering Series 6 Exam
    Master the concept of correspondence in securities communication for the Series 6 Exam. Learn about supervisory requirements, examples, and best practices for written and electronic communications with retail investors.
  • Institutional Communications in Securities: Key Concepts and Guidelines
    Explore the essentials of institutional communications within the securities industry, including definitions, regulatory guidelines, and practical examples. Understand how these communications differ from retail communications and learn about the compliance requirements set by FINRA.
• 7.2 Content Standards
  • Fair and Balanced Communication in Securities
    Master the principles of fair and balanced communication in securities with our comprehensive guide, crucial for passing the Series 6 Exam.
  • Prohibited Content in Customer Communications for Series 6 Exam
    Explore the guidelines and regulations surrounding prohibited content in customer communications as per FINRA Rule 2210(d). Understand how to avoid false statements, unwarranted claims, and ensure compliance in the securities industry.
• 7.3 Approval and Filing Requirements
  • Principal Approval for Securities Communications
    Understand the critical role of principal approval in securities communications, including types of communications requiring approval, responsibilities of registered principals, and compliance with FINRA rules.
  • FINRA Filing and Review
    Understand the FINRA Filing and Review process, essential for compliance with FINRA Rule 2210. Learn about the requirements for filing communications, the review process, and how to navigate potential revisions.
• 7.4 Electronic Communications and Social Media
  • Compliance Guidelines for Electronic Communications and Social Media
    Explore comprehensive compliance guidelines for electronic communications and social media in the securities industry, focusing on regulatory standards, firm policies, and best practices for maintaining compliance.
  • Recordkeeping Requirements for Securities Professionals
    Explore the essential recordkeeping requirements for securities professionals, focusing on electronic communications and social media. Learn about the obligation to retain records, duration of retention, and technologies to aid compliance.
• 7.5 Disclosure Requirements
  • Prospectus Delivery: Essential Guide for Series 6 Exam
    Master the prospectus delivery requirements for the Series 6 Exam with our comprehensive guide. Understand the timing, content, and regulatory obligations for delivering a prospectus to customers.
  • Compensation Disclosure in Securities: Understanding and Transparency
    Explore the essential aspects of compensation disclosure in the securities industry, focusing on transparency, compliance, and the impact on client relationships. Learn how financial professionals disclose commissions, fees, and incentives to maintain ethical standards and build trust.
  • Conflict of Interest Disclosure in Securities: Essential Guide for Series 6 Exam
    Master the concept of Conflict of Interest Disclosure for the Series 6 Exam. Learn about regulatory requirements, disclosure methods, and practical examples to ensure compliance and maintain client trust.