Seminars, Lectures, and Group Forum Requirements

What this video covers

• How unscripted live speaking at a seminar is classified as a public appearance, while handouts, slides, scripted presentations, and brochures shown to more than 25 retail investors are retail communications
• Why the 25-retail-investor threshold determines whether written seminar materials require principal pre-approval before use
• When generic educational materials that name no specific product are exempt from pre-use principal approval, despite technically being retail communications
• The four categories that trigger a 10-business-day filing with FINRA's Advertising Regulation Department: mutual funds, variable products, rankings, and volatility ratings
• The three required elements of written supervisory procedures for public appearances: education and training, documentation, and surveillance with follow-up
• The standard disclosure duties for securities recommendations during public appearances, and the critical carve-out that removes financial-interest and conflict disclosures for investment company securities and variable insurance products
• Why a reasonable basis is the sole disclosure test for a Series 6 representative recommending a mutual fund or variable contract during a seminar