Series 7 practice questioneasyMarketing and Prospecting — Advertising Approval
Who is typically responsible for approving retail advertising materials before use?
- AThe branch manager
- BFINRA directly
- CThe client
- DA registered principal of the firm✓ Correct answer
Explanation
Why D — A registered principal of the firm
A registered principal of the broker-dealer must approve all retail communications prior to use to ensure compliance with regulatory standards.
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