Browse Series 6 Exam Prep
7.3 Approval and Filing Requirements
In this section
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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.
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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.
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