FINRA Exams Electronic Communications Review

Here is some great information on on electronic communications for the Series 6 exam, series 7 exam, series 10 exam, series 24 exam, series 26 exam, series 62 exam, series 63 exam, series 65 exam, and series 66 exam.

As the popularity of the Internet grows, the way we conduct business within the securities industry is changing. To keep up with these changes FINRA has amended the rules regarding advertising and sales literature to include electronic communications. Advertising now includes all publicly accessible websites, banner advertisements, blogs and bulletin boards.

Instant messages and emails sent to 25 or more prospective clients in a 30 day period are considered sales literature, as are password protected websites.

Emails and instant messages sent to existing clients, or those sent to 25 or fewer prospects are viewed as correspondence and chat rooms are treated as public appearances.
Remember, advertising and sales literature require prior written approval by a principal and must be filed with the SRO. Correspondence is required to be reviewed by the principal.

Take some free series 6 exam questions on our site at:

http://www.securitiesce.com/web/pages/series6/index.php

Take some free series 7 exam questions on our site at:

http://www.securitiesce.com/web/pages/series7/index.php

Take some free series 10 exam questions on our site at:

http://www.securitiesce.com/web/pages/series10/index.php

Take some free series 24 exam questions on our site at:

http://www.securitiesce.com/web/pages/series24/index.php

Take some free series 26 exam questions on our site at:

http://www.securitiesce.com/web/pages/series26/index.php

Take some free series 62 exam questions on our site at:

http://www.securitiesce.com/web/pages/series62/index.php

Take some free series 63 exam questions on our site at:

http://www.securitiesce.com/web/pages/series63/index.php

Take some free series 65 exam questions on our site at:

http://www.securitiesce.com/web/pages/series65/index.php

Take some free series 66 exam questions on our site at:

http://www.securitiesce.com/web/pages/series66/index.php