Aregistered representative works for a brokerage firm that is a dealer for a mutual fund complex. the rr has prepared a script and a slide presentation for a seminar on the funds in the complex and also intends to hand out prospectuses for the funds and a brochure that was created by her firm. in this situation, all of the following should be filed with finra, except:
a the script
b the slide presentation
c the prospectus
d the brochure

In this situation, all of the given variables should be filed with FINRA, except: The prospectus

Retail communication is a engrossed or e-communication that is dealt out or made accessible to retail investors within a 30 day period. Script, presentation, and booklet are defined as retail communication and are to be filed with FINRA . Advertisements, fund record, and prospectuses are filed with the SEC are excused from the submission requirement.

Therefore the correct option in this case  is (c).

the assumption the narrator makes in this excerpt is that the messages he heards were going to hurt the narrator's mom; the narrator just springs in to action. the narrator doesn't specify in this excerpt why he believes that the messages present a problem that requires protection.

the answer is a. $209,000