SIE practice questionhardSupervision
What must a firm have in place for all customer communications?
- AFiling only for public appearances
- BDaily reporting to FINRA
- CQuarterly filing with the SEC
- DWritten supervisory procedures for review and approval✓ Correct answer
Explanation
Why D — Written supervisory procedures for review and approval
Firms must have written supervisory procedures for all customer communications.
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