Business, 13.08.2019 04:30 shawn379

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

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Aregistered representative works for a brokerage firm that is a dealer for a mutual fund complex. th...

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