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Unit 19: Communication with the public (4qs) - Coggle Diagram
Unit 19: Communication with the public (4qs)
3 types of communication with the public
Correspondence :check: <25
Retail Communication :star: BIGGEST CATEOGRY
Institutional Communication : DON'T HAVE TO GET PRE A PPROVAL ON
Other communication
Public Appearance : PART OF RETAIL COMMUNICATION
Independently Prepared Reprint : NO NEED FINRA REVIEW CHANGE THEM ONLY TO COMPLY WTH THE RULES , FIX THE MATHS ERROS
Research Reports
Quiet Period : 10 DAYS AFTER IPO COMES OUT , INVOLVED IN THE IPO THEN NO SHARE ANY RESEARCH
Electronic Communication with the public : TREAT LIKE WRITTEN , STATTIC( NEEDS PRE APPROVAL ) COMMUNICATION INTERACTIVE (BLOG, DOES NOT NEED D
SEC Advertising Rules
Review, Approval and filing of Communications
Required approvals of public communications
Product-Specific Communications
Product Specific Advertisements and Disclosures
Use of Investment Company Rankings in Retail Communications :star:
Required Disclosure of Investment Company Rankings
Use of Bond Mutual Fund Volatility Ratings :star:
CMO Suitability
Options Communications :star:
Summary of FINRA Filing Requirements for Communications with the Public :star:
Prefiling
Post filing
Exclusions from the filing requirement
NEW FIRM THEN PRE FILE EVERYTHING , IN BUSINESS A YEAR OR LESS :star:
Communications regarding variable contracts
Product Communications
Liquidity
Guarantees
Fund Performance Predating Inclusion in a Variable Product
Single Premium Variable Life
Hypothetical Illustrations of Rates of Return in Variable Life Insurance :star: MAX OF 12 % AND ALSO WITH 0
FIXED ANNUITY HAVE TO GUARANTEE IT :star: