Series 6 · Seeks Business for the Broker-Dealer from Customers and Potential Customers · Free Lesson

Soliciting business: product descriptions, the new-issue process, and offering exemptions

Free FINRA Series 6 (Investment Company and Variable Contracts Products Representative) lesson in Seeks Business for the Broker-Dealer from Customers and Potential Customers. 16 min read, ~2,409 words.

Describing products to solicit business (LO statement 1).

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What this lesson covers

Content
Example 1
Example 2
Common Mistakes
Check Your Understanding
Bottom Line
Exam Shortcuts

Learning objectives

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