Methods of Communication
Chapters in this video
- 0:00 Meet the cast: Ali, Kara, and Sam
- 0:58 Who is the audience: customers, vendors, and associated persons
- 1:34 Correspondence vs. retail communication: the audience-size split
- 2:29 Institutional communication and the internal-email exclusion
- 3:34 Communication-method trap vs. nonpublic personal information
- 4:51 Side-by-side three-category visual lock-in
- 5:24 Rapid-fire exam recap
What this video covers
- Why the audience, not the content or delivery channel, determines whether written or electronic material is correspondence, retail communication, or institutional communication
- The precise split between correspondence (small number of retail investors) and retail communication (larger number of retail investors), and why only size matters between the two
- What institutional communication is, who qualifies as the audience, and the critical exclusion of the firm's internal communications
- When a registered principal must approve communication before use, and why retail communication triggers this requirement while correspondence does not
- The exam trap that pairs methods of communication with nonpublic personal information, and how to evaluate the truck separately from its cargo
- How to apply the side-by-side three-category framework to classify any message on test day in under ten seconds
Read the full lesson, free
This video's complete written lesson is free to read in the CertFuel app, no signup wall. The complete Series 99 course also includes adaptive practice questions and spaced-repetition flashcards, free through the end of 2026.