Series 26

By Investopedia AAA

Sales Activities - Introduction


There are regulations regarding sales activities of registered persons under the Securities Act of 1933, Securities Exchange Act of 1940, Investment Company Act of 1940 and FINRA (previously known as NASD) Conduct Rules. This section first focuses on the regulation of sales presentations, then FINRA Conduct Rules and, finally, prohibited sales practices. Approximately 21 questions on your exam will focus on the material presented within this chapter.
Sales Presentations and Use of Sales Tools

You May Also Like

Related Articles
  1. Options & Futures

    Key Factors Of The Russell 2000 Index

  2. Stock Analysis

    There Are No Good And Bad Stocks, There's ...

  3. Charts & Patterns

    Why These May Be the Top 4 Growth Stocks ...

  4. Economics

    Gambling on Macau: Too Risky?

  5. Stock Analysis

    Why the House (and Las Vegas Sands) ...

Trading Center