SIE practice questioneasyFiling with FINRA
Retail communications concerning which of the following must be filed with FINRA at least 10 business days prior to first use?
- ARegistered investment companies with self-created rankings✓ Correct answer
- BMoney market funds
- CCorrespondence
- DAll public appearances
Explanation
Why A — Registered investment companies with self-created rankings
Retail communications about investment companies that include self-created rankings must be filed with FINRA 10 business days before first use.
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