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. Investing

    What Happened To Obama’s Amnesty Bill?

  2. Economics

    What Is Happening To The BRIC Economies?

  3. Options & Futures

    Options -- Accessing Stakes In Apple ...

  4. Trading Strategies

    Risk Management Techniques For Shorting ...

  5. Stock Analysis

    A.M. Best Rates W.R. Berkley Corp. with ...

Trading Center