Study for the Series 6 Exam

Planning to sit for the Series 6 in the near future? Don't go into the Series 6 Exam without careful preparation and study of FINRA's Rule 2210 on Retail Communications and required standards and content for Public Appearances. Why? Because FINRA tells us that this is an important subject in its Series 6 Content Outline. Bob Eder in his Study for the Series 6 Exam devotes all of Chapter One to FINRA's rule on retail communications and required standards for communicating with retail customers. Here's a section from FINRA Rule 2210 on Public Appearances: "Public Appearances (1) When sponsoring or participating in a seminar, forum, radio or television interview, or when otherwise engaged in public appearances or speaking activities that are unscripted and do not constitute retail communications, institutional communications or correspondence ("public appearance"), persons associated with members must follow the standards of paragraph (d)(1). (2) If an asso

Planning to sit for the Series 6 Exam? Then be prepared for questions on Opening Customer Accounts, including the necessary items required for accepting a new customer. FINRA publishes a Content Outline for the Series 6 Exam, and Section 2.1 specifically talks about the requirements for opening customer accounts. Therefore FINRA is telling us that the Series 6 Exam will include questions on opening such accounts. Bob Eder in his Study for the Series 6 Exam discusses the customer account  requirements in Chapter Four. The SEC also publishes a list of these requirements. Here is what the SEC says at  (https://www.sec.gov/oiea/investor-alerts-bulletins/investoralertsib_openbrokerageaccount): "Information You Will Need to Provide "Brokers generally request personal information from their customers, including financial and tax identification information. Brokers need this information to comply with laws and other regulations. Some of the information a broker will likely ask you t