SIE practice questionmediumFiling with FINRA
Under FINRA rules, when must a new member file retail communications published or used in electronic or other public media with FINRA during its first year?
- 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, a new FINRA member must file retail communications published or used in electronic or other public media at least 10 business days before first use. The pre-use filing rule does not literally cover every retail communication in every medium.
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