SERIES 6 CANDIDATES, STUDY AND KNOW FINRA RULES ON ADVERTISING AND COMMUNICATIONS WITH THE PUBLIC !

FINRA publishes a Content Outline for the Series 6 Exam. Under Function 1 - "Seeks Business for the Broker Dealer from Customers and Potential Customers," FINRA's Content Outline lists required knowledge of the standards and required approvals for Public Communications. The primary FINRA rule governing Communications with the Public is Rule 2210. Before you sit for the Series 6 Exam, make sure that you are familiar with the main provisions of this Rule.

Bob Eder has a full treatment of Rule 2210 Communications with the Public in his Study for the Series 6 Exam. Here is an example of Bob Eder's treatment:

Correspondence (1.1)

FINRA defines "correspondence" as any written or electronic communication that a brokerage firm or representative sends, distributes, or makes available to 25 or fewer retail investors, within any 30-calendar-day period. If a representative sends material to more than 25 retail customers within any 30-day period, then it would be "retail communications." However, FINRA does not include materials sent to 25 or less retail customers within a 30-day period as "retail communications."

Here is the link to FINRA's Content Outline for the Series 6 Exam. See the references to Communications with the Public in FINRA's Content Outline, Section 1.1.

Study for the Series 6 Exam is available from Amazon in both paperback and Kindle e-book versions. Here is the link to Bob Eder's Series 6 Exam study manual on Amazon.

See Bob Eder's Author Page on Amazon.com.

For questions about Bob Eder's Study for the Series 6 Exam, or questions in general about the Series 6 Exam, such as Communications with the Public, feel free to email Bob Eder at bobeder@bobeder.net.

Bob Eder received his Juris Doctor (J.D.) degree from the University of Utah, Quinney College of Law, in 2001.