Series 6 - Investment Company And Variable Contracts Products Representative Exam

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Which FINRA rule requires registered representatives who are changing firms provide educational materials about potential conflicts of interest to customers they wish to take with them to their new firm?

Rule 2110
A
Rule 2733
B
Rule 2773
C
Rule 2273
D

Explanations

Rule 2273 requires registered representatives who are moving to a new firm and are trying to convince former customers to move with them to provide educational materials outlining considerations, including financial incentives that could cause a conflict of interest for the representative.