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NEED TO STUDY FOR A DIFFERENT EXAM? JUMP TO ANY BELOW

SIE	Series 63	Series 65	Series 26	MLO

CHANGE UNIT

Current Unit: UNIT 1- Seeking Business for the Broker-Dealer From Customers and Potential Customers

UNIT 2 - Evaluating Customer Accounts; Financial Profiles and Investment Objectives; Retirement Plans
UNIT 3 - Customer Information; Risk and Suitability; Product Information
UNIT 4- Customers' Purchase and Sales Instructions and Processing Transactions

(Jump back and forth to any part of the page)

Retail/Public Communications

Any WRITTEN communication, sent to more than 25 retail investors within 30 day period(7 or more investors weekly)
FINRA filing required 10 days BEFORE first use for 1 year or LESS old member firms, and 10 days WITHIN first use for any member OLDER than 1 year.
Are interactive(radio/tv commercial isn't) - includes scripts, slides or handouts(which require filing)
FINRA Required approval for mutual fund related.

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