Series 7 Exam Retail Communications, SIE Exam, Series 6 Exam, Series 10 Exam & 24 Exam too! скачать в хорошем качестве

Series 7 Exam Retail Communications, SIE Exam, Series 6 Exam, Series 10 Exam & 24 Exam too!

Verbal errata: Retail Communication is more than 25 and Correspondence is 25 or less. AML    • SIE Exam Prep AML.  Series 7 exam, Series6...   Time stamps: 00:00 Intro 1:05 Correspondence is to 25 or fewer in a thirty-day period. 2:04 Can be approved pre or post distribution by a principal 2:22 Retail communication (AKA sales literature) to more than 25 in a thirty-day period 3:44 Must be approved pre distribution 4:12 Written Supervisory Procedures (WSPs) 5:10 Overview of type of communication and approval 5:53 Filing with FINRA. Pre file if first year firm 6:23 Within 10 days of first use if established firm 6:36 Retail communication is a three-year record 7:12 CMO retail communication must prefile 9:02 Options must be prefile 10:55 Mutual funds 11:42 WSPs contain firm's policy on social media 12:09 Static content is retail communication and must be approved pre-distribution 12:17 Interactive content must be supervised 13:31 Entanglement 14:05 Variable life 14:54 12% max in illustration with a zero-return included 15:26 Public appearances are interactive and must be supervised 15:58 Slides and scripts are retail communication must be approved predistribution 16:06 Research reports 16:54 Broker/dealer recruitment ad can be blind 17:25 Broker/dealer testimonials