Series 79: Regulation Of Sales And Marketing

Taken from our Series 79 Top-off Online Guide

Regulation of Sales and Marketing

In addition to the general restrictions on communication that apply to public offerings and the prohibitions on manipulative, deceptive, and fraudulent acts in connection with the sale of securities, a number of regulations apply specifically to sales and marketing activity.

Since you're reading about Series 79: Regulation Of Sales And Marketing, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 79
Please Enable Javascript
to view this content!