Communication with Customers and Prospects

Series 63 treats communications as both a legal and operational topic. The exam expects candidates to understand how firms handle customer records, privacy, correspondence, advertising, and operational disclosures while still staying inside state-law limits on broker-dealer conduct.

Read this chapter as a customer-contact workflow. Start with records and account information, move into communications and privacy, then finish with the operational topics that often appear in customer-facing fact patterns such as options, margin, and required disclosures.

In this section

• Books, Records, and Customer Account Information
  Review account-record, recordkeeping, and customer-information rules tested in the communication domain of Series 63.
• Communications with the Public and Privacy
  Study advertising, customer communications, and privacy rules that appear in Series 63 communication questions.
• Options, Margin, and Operational Communications
  Learn why Series 63 includes options, margin, and operational disclosure topics inside the communication domain.