Communications with Prospects and Customers - Introduction


The FINRA and the SEC have a number of rules pertaining to the marketing, prospecting and presentation of securities. The goal of these rules is to protect the public from inaccurate information or unfair practices. Therefore, the registered representative must be familiar with what conduct is not permissible when performing these activities. This section covers communications with prospects and customers, which is located in Sales Practices of the Test Series 26 study outline. Securities Act of 1933

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