20. Communications with Customers

In this section

• Types of Communications in Securities Industry
  Explore the different types of communications as defined by FINRA, including Retail Communications, Institutional Communications, and Correspondence, with examples and regulatory requirements.
  • Retail Communications: Understanding Compliance and Approval Processes
    Explore the intricacies of retail communications in the securities industry, focusing on compliance standards, principal approval, and FINRA filing requirements. Learn how to craft compliant communications to meet regulatory standards.
  • Institutional Communications: Mastering Series 7 Exam Content
    Explore the intricacies of institutional communications in the securities industry, including definitions, regulations, and compliance tips essential for the Series 7 Exam.
  • Correspondence in Securities Communication: Guidelines and Best Practices
    Explore the intricacies of correspondence in securities communication, focusing on the regulatory requirements, best practices, and compliance strategies essential for the Series 7 Exam.
• Content Standards and Disclosure Requirements
  Explore FINRA's content standards for communications, emphasizing fairness, balance, and clarity in the securities industry. Learn about required disclosures and prohibitions on misleading statements.
  • Fair and Balanced Presentation in Securities Communications
    Master the art of fair and balanced presentation in securities communications for the Series 7 Exam. Learn how to effectively convey risks and rewards, avoid omissions, and maintain appropriate language and tone.
  • Projections and Performance Data: Understanding Rules and Best Practices
    Master the rules and best practices for using projections and performance data in communications with customers. Learn about the prohibition on implied guarantees, requirements for historical performance, and guidelines for using charts and graphs in the Series 7 Exam preparation.
  • Testimonials and Endorsements in Securities Communications
    Explore the use of testimonials and endorsements in securities communications, including regulatory requirements, disclosure obligations, and practical examples for compliance.
• Social Media and Digital Communications in Securities Industry
  Explore the intricacies of social media and digital communications within the securities industry, focusing on regulatory expectations, compliance challenges, and best practices for effective and ethical engagement.
  • Compliance Policies for Social Media and Digital Communications
    Master Compliance Policies for Social Media and Digital Communications in the Securities Industry. Learn essential strategies, best practices, and regulatory requirements to ensure effective compliance and ethical communication.
  • Recordkeeping Requirements for Social Media and Digital Communications
    Explore the comprehensive recordkeeping requirements for social media and digital communications in the securities industry, including retention periods, technology solutions, and compliance strategies.
• Approval and Review Procedures for Customer Communications
  Master the approval and review procedures for customer communications in the securities industry. Learn the requirements for principal approval, the process for filing communications with FINRA, and understand the regulatory framework governing these procedures.
  • Principal Approval in Securities Communications
    Explore the critical role of principal approval in securities communications, including types of communications requiring pre-approval, principal responsibilities, and compliance checklists.
  • Filing with FINRA: Essential Guidelines for Series 7 Exam Success
    Master the essentials of filing communications with FINRA's Advertising Regulation Department for the Series 7 Exam. Understand the procedures, timelines, and compliance requirements critical for aspiring General Securities Representatives.