SERIES 6 TEST CANDIDATES! BE PREPARED FOR QUESTIONS ON RETAIL COMMUNICATIONS, REQUIREMENTS AND STANDARDS FOR PRESENTING SEMINARS, LECTURES AND OTHER GROUP FORUMS

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 associated person recommends a security in a public appearance, the associated person must have a reasonable basis for the recommendation. The associated person also must disclose, as applicable:

(A) that the associated person has a financial interest in any of the securities of the issuer whose securities are recommended, and the nature of the financial interest (including, without limitation, whether it consists of any option, right, warrant, future, long or short position), unless the extent of the financial interest is nominal; and

(B) any other actual, material conflict of interest of the associated person or member of which the associated person knows or has reason to know at the time of the public appearance.

(3) Each member shall establish written procedures that are appropriate to its business, size, structure, and customers to supervise its associated persons' public appearances. Such procedures must provide for the education and training of associated persons who make public appearances as to the firm's procedures, documentation of such education and training, and surveillance and follow-up to ensure that such procedures are implemented and adhered to. Evidence that these supervisory procedures have been implemented and carried out must be maintained and made available to FINRA upon request.

(4) Any scripts, slides, handouts or other written (including electronic) materials used in connection with public appearances are considered communications for purposes of this Rule, and members must comply with all applicable provisions of this Rule based on those communications' audience, content and use."

(https://www.finra.org/rules-guidance/rulebooks/finra-rules/2210)

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 Study for the Series 6 Exam on Amazon.

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For questions about Bob Eder's Study for the Series 6 Exam, or questions in general about the Series 6 Exam, or about Retail Communications and/or Public Appearances, simply 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.

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