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SIE: Communications & Sales Practices
SIE practice questionmediumRetail Communication Approval

When must retail communications generally be approved by a principal?

  1. AAfter being filed with FINRA
  2. BWithin 10 days after use
  3. CBefore first use✓ Correct answer
  4. DOnly for institutional communications
Explanation

Why CBefore first use

Retail communications must be approved by a principal before first use.

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