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

You May Also Like

Related Articles
  1. Stock Analysis

    Energy Transfer Could Learn From Williams ...

  2. Stock Analysis

    Is Enterprise Product's Stock a Buy ...

  3. Stock Analysis

    Can AMD Regain GPU Market Share From ...

  4. Stock Analysis

    Whole Foods Isn't Afraid to Leap in ...

  5. Stock Analysis

    Eagle Rock Soars on Vanguard Deal

Trading Center