Episode Details

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - The key differences between correspondence, retail, and institutional communications based on the number of retail investors. - The specific principal pre-approval requirements for retail communications and the exceptions for other types. - When retail communications must be filed with FINRA, distinguishing between pre-filing and post-filing requirements. - The 'fair and balanced' standard, with a focus on rules for testimonials, performance claims, and investment company rankings. - The three-year record retention rule for all public communications and common exam traps related to social media and forwarded communications. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep