Verbal errata: Retail Communication is more than 25 and Correspondence is 25 or less.
AML [ Ссылка ]
Time stamps:
00:00 Intro
1:05 Correspondence is to 25 or fewer in a thirty-day period.
2:04 Can be approved pre or post distribution by a principal
2:22 Retail communication (AKA sales literature) to more than 25 in a thirty-day period
3:44 Must be approved pre distribution
4:12 Written Supervisory Procedures (WSPs)
5:10 Overview of type of communication and approval
5:53 Filing with FINRA. Pre file if first year firm
6:23 Within 10 days of first use if established firm
6:36 Retail communication is a three-year record
7:12 CMO retail communication must prefile
9:02 Options must be prefile
10:55 Mutual funds
11:42 WSPs contain firm's policy on social media
12:09 Static content is retail communication and must be approved pre-distribution
12:17 Interactive content must be supervised
13:31 Entanglement
14:05 Variable life
14:54 12% max in illustration with a zero-return included
15:26 Public appearances are interactive and must be supervised
15:58 Slides and scripts are retail communication must be approved predistribution
16:06 Research reports
16:54 Broker/dealer recruitment ad can be blind
17:25 Broker/dealer testimonials

свернуть