SIE practice questionmediumRetail Communication Approval
When must retail communications generally be approved by a principal?
- AAfter being filed with FINRA
- BWithin 10 days after use
- CBefore first use✓ Correct answer
- DOnly for institutional communications
Explanation
Why C — Before first use
Retail communications must be approved by a principal before first use.
Turn it into reps
Reading one answer is not the same as being ready
Lucky the Banker is a free practice app with 1,867+ SIE questions, weak-area tracking, and timed mock exams. No credit card, no paywall.
Related Communications & Sales Practices questions