Communications, Advertising, and Social Media
Free NASAA Series 63 (Uniform Securities Agent State Law Examination) lesson in Communications with Customers and Prospects. 17 min read, ~2,504 words.
Retail communications require written principal approval before first use; correspondence is supervised, not pre-approved. More than 25 retail recipients in 30 days converts correspondence into retail communication (exactly 25 stays correspondence). Recordkeeping: BDs retain 3 years, state IAs retain 5 years (first 2 easily accessible or on-premises); performance ads run...
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What this lesson covers
- Content
- Example 1
- Example 2
- Common Mistakes
- Check Your Understanding
- Exam Shortcuts
Learning objectives
- G17
- G18
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