TAKING THE SERIES 6 EXAM? BE PREPARED FOR QUESTIONS ON FINRA RULES REGARDING COMMUNICATIONS WITH CUSTOMERS
Are you thinking of taking the Series 6 exam and becoming licensed to sell mutual funds and variable annuities? Then be prepared for questions on FINRA's rules involving communication with customers. In FINRA's Content Outline for the Series 6, Section 1.1 specifies that a test candidate needs to have requisite knowledge of various FINRA rules on what a representative may may say to a customer about investment products. Rule 2210 is the major rule in this group, specifying minimum standards and required approvals of communications with the public. Bob Eder's Study for the Series 6 Exam covers these FINRA rules in detail. Chapter One is entitled "Communication with Customers." Bob Eder's chapter covers retail communications, approval by principals, sales presentations, correspondence sent out by representatives, retail investors, and much more. Here is the link to FINRA's Content Outline for the Series 6 . Bob Eder's book is available from Amazon in bot