Series 82: 2.2.1.4. Content Standards

Taken from our Series 82 Online Guide

2.2.1.4. Content Standards

FINRA requires that all communications with the public be based on principles of fair dealing and good faith, that they be “fair and balanced,” and that they provide a “sound basis” to evaluate the facts. Member firms may not make false, exaggerated, unwarranted, or misleading claims or statements. Nor may they predict or project performance or imply that past performance will recur.

All retail communications and correspondence must prominently display the name of the member firm, and they must reflect the firm’s relationship with any non-member firm or individual also mentioned by name in the communication and disclose the products or services the member firm is offering them.

S

Since you're reading about Series 82: 2.2.1.4. Content Standards, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 82
Please Enable Javascript
to view this content!