Series 24: 3.6.2.1.2. Correspondence And Institutional Communications

Taken from our Series 24 Online Guide

3.6.2.1.2. Correspondence and Institutional Communications

Incoming and outgoing written and electronic correspondence does not typically require a principal’s approval. Member firms may elect to preapprove correspondence, but if they do not, they must educate and train their representatives on FINRA’s communication rules and document that

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