Business, 29.07.2020 17:01 cupcakes5335
A registered representative has prepared a sales piece for one of his retail customers demonstrating a trading strategy. Regarding the piece which of the following statements is TRUE?
A) The piece will be regulated as a retail communication with the public.
B) The piece must be approved by a principal prior to being sent to the customer.
C) All material sent to individual clients must be submitted to FINRA before use.
D) The piece will be regulated as correspondence.
Answers: 3
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A registered representative has prepared a sales piece for one of his retail customers demonstrating...
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