SIE practice questionmediumFiling Requirements
When must a firm file retail communications concerning mutual funds with FINRA?
- AWithin 10 business days of first use✓ Correct answer
- BBefore first use
- COnly upon request
- DNo filing is necessary
Explanation
Why A — Within 10 business days of first use
Retail communications about mutual funds must be filed within 10 business days of first use unless subject to prior approval requirements.
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