Learn the communications, advertising, seminar, media-appearance, research, and cold-calling rules that close the Series 14 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.
| Skill | Exam use |
|---|---|
| Classify outbound communications | Distinguish retail communications, research-related content, seminars, media appearances, and telephone solicitations. |
| Apply approval and content controls | Decide when material must be stopped, corrected, approved, filed, retained, or escalated. |
| Recognize solicitation risk | Treat cold-calling and telemarketing facts as compliance-control issues, not just sales tactics. |
Use these section lessons as the main reading path for this Series 14 function. They connect compliance-officer judgment to exact tested controls, escalation points, records, and remediation evidence.
| Section | Lesson |
|---|---|
| 9.1 | Definition and Approval of Public Communications |
| 9.2 | Regulation of Telephone Solicitations |