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SIE: Communications & Sales Practices
SIE practice questionmediumCorrespondence Supervision

Which of the following is TRUE about the review of correspondence?

  1. APrincipals must approve each piece individually
  2. BCorrespondence can be distributed without any review
  3. COnly FINRA reviews correspondence
  4. DFirms must have procedures for review and supervision✓ Correct answer
Explanation

Why DFirms must have procedures for review and supervision

Firms are required to have written procedures for the review and supervision of correspondence.

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