Series 52: Advertisements

Taken from our Series 52 Top Off Online Guide

An advertisement is any published material used in public media or promotional literature made available to customers or the public about the products or services of a broker-dealer. These materials include any notice, circular, report, market letter, form letter, telemarketing script, seminar text, press release, reprint of a published article, or any excerpt of any of these:

• A form letter is any written or electronic mail message distributed to 25 or more persons within a 90-day period. A written or electronic message distributed to fewer than 25 persons is considered correspondence and falls under the rules for public correspondence.
• A professional advertisement ad

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