Series 7 Exam Prep 3, Broker-Dealer Business and Customer Solicitation

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Series 7 Exam Prep 3, Broker-Dealer Business and Customer Solicitation

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This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The critical difference between correspondence, retail, and institutional communications based on the "25 retail investor" rule. - Why retail communications require pre-approval by a principal while correspondence and institutional communications do not. - The strict prohibition on projecting future investment performance in any client-facing material. - Key disclosure requirements for using testimonials in advertisements, a common exam trap. - How supervision rules apply to various marketing efforts like public seminars and product-specific ads. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep

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