Series 14: 9.1.3.1.2. Correspondence And Institutional Communications

Taken from our Series 14 Online Guide

9.1.3.1.2. Correspondence and Institutional Communications

Incoming and outgoing written and electronic correspondence does not necessarily require a principal’s approval, unless the communication promotes a product or contains a financial or investment recommendation. Member firms may elect to preapprove correspondence, but if they do not, they must educate a

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