Series 14: Chapter 9

Taken from our Series 14 Online Guide

Chapter 9

Solicitations

When a broker-dealer solicits customer business, it must follow specific rules and regulations designed and enforced by FINRA. These rules apply to product advertising, research reports, seminars, media appearances and other types of direct solicitation. This chapter will address the specific rules related to solicitations that are relevant to the Series 14 exam.

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