7.1 Types of Communications

In this section

• 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.