Series 7 Exam

With the intent of soliciting business, describing investment products to both potential and current customers As you know, there are numerous types of securities available in the marketplace including those issued by governments (federal, state, and local) as well as corporations. For the most part, these securities are purchased as new issues by investors. Following … Read more

In-person, telephonic, mail, and electronic contact with potential and current customers; marketing and advertising material development and the approval to distribute them. There are two major reasons why broker-dealers need to communicate effectively with the public. The first reason is that advertising – a critical form of communication for all businesses – pays. How can … Read more