Learn the communications and cold-calling rules that close the Series 14 Compliance Officer Exam.
The final Series 14 chapter deals with solicitations. It covers public communications, research and advertising review, seminars and media appearances, and the separate rules around telephone solicitation. The compliance officer has to understand these topics because they are where the firm’s public face can create immediate regulatory exposure.
Read this chapter as the outbound-communications layer. Start with approval and classification of public communications, then move into cold-calling controls and telemarketing restrictions.