Customer contact, public communications standards, and required approvals

Free FINRA Series 6 (Investment Company and Variable Contracts Products Representative) lesson in Seeks Business for the Broker-Dealer from Customers and Potential Customers. 19 min read, ~2,818 words.

Retail communication is more than 25 retail investors in 30 days and needs principal approval before first use; correspondence is 25 or fewer and needs supervision, not pre-approval. Institutional communication goes only to institutional investors, no pre-approval, but written supervisory procedures still apply. New member firms file retail communications at...

What this lesson covers

• Content
• Example 1
• Example 2
• Common Mistakes
• Check Your Understanding
• Exam Shortcuts

Learning objectives

• A1

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