Series 7: 11.1 Communications With The Public

Taken from our Series 7 Top-off Online Guide

11.1 Communications with the Public

Almost all communications with the public are strictly regulated by FINRA, requiring that a registered principal attest to the truthfulness of its content and that the member firm retain copies both in its own records and with FINRA’s Advertising Regulation Department.

FINRA classifies public communications into the following general categories.

• Correspondence—any written letter or email message that is dist

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