Series 63: Appendix C

Taken from our Series 63 Online Guide

Appendix C

New Investment Adviser Marketing Rule

Unless you were born into a well-connected family, clients won’t just fall into your lap. You’re going to have to advertise yourself to make a living. The SEC's Marketing Rule sets the standards for federal covered advisers' marketing communications.

SEC Rule 206(4)-1

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Since you're reading about Series 63: Appendix C, you might also be interested in:

Series 14 - 2.7. Trading Practices

Series 24 - 4.1.12.2. Liabilities for False Communications

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Series 24 - S-4 Registration: SEC Rule 145

Series 7 - 1.2.2 Common Stock Shareholder Rights

Series 24 - 5.7. Trade Reporting and Dissemination

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Series 63: Appendix C

Taken from our Series 63 Online Guide

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