6-Snapshot Review-Regulated Activities and Relationships

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ADVERTISING  Definition                             Broadly defined and highly regulated; “keep in touch” or “thank-you” items such as gifts or birthday cards to clients are exempted Rules                                         Designated broker must supervise all advertising; “blind ads” are prohibited; listing DB name (not just franchise name) must be clear, prominent and visible on the first page of website without scrolling […]

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5-Handling of Funds-Regulated Activities and Relationships 7-Chapter 30 Exam-Regulated Activities and Relationships