SIE practice questionhardFINRA Filing Requirements
Which of the following communications is least likely to require filing with FINRA?
- ARetail communication with self-created mutual fund rankings
- BA newspaper ad for a new mutual fund
- CA retail communication with performance projections
- DCorrespondence sent to 10 retail clients✓ Correct answer
Explanation
Why D — Correspondence sent to 10 retail clients
Correspondence (sent to 25 or fewer retail clients) does not require filing with FINRA.
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