SIE practice questionmediumFiling with FINRA
Under FINRA rules, when must a new member file all retail communications with FINRA?
- AAt least 10 business days prior to first use✓ Correct answer
- BWithin 30 days of first use
- CUpon request
- DNo filing is required for new members
Explanation
Why A — At least 10 business days prior to first use
For the first year, new members must file all retail communications at least 10 business days prior to first use.
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