Series 24: Communications That Include A Recommendation

Taken from our Series 24 Online Guide

Communications That Include a Recommendation

Any retail communications that contain recommendations must disclose certain conflicts of interest. Specifically, the communication must disclose whether the firm makes a market in the recommended security or, if the recommendation is for an option or security future, whether the firm makes a market in the underlying security. The communication must also disclose whether the firm was a manager or co-manager on an offering of any securities by the issuer of the recommended security within the past 12 months. The communication must also disclose whether the firm or any associated person who is responsible for the content has a financial interest any of the securities of the issuer of the security.

Retail communication with recommendations also must provide support for the recommenda

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