Series 65: 10.6. Marketing And Advertising Rules

Taken from our Series 65 Online Guide

10.6. Marketing and Advertising Rules

Unless you were born into a well-connected family, clients won’t likely just fall into your lap. You’re going to have to market and advertise yourself and your firm to make a living. The rules you must follow when marketing your services are different depending on whether your firm is registered at the state or federal level.


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