SIE practice questionmediumCorrespondence Supervision
Which of the following is TRUE about the review of correspondence?
- APrincipals must approve each piece individually
- BCorrespondence can be distributed without any review
- COnly FINRA reviews correspondence
- DFirms must have procedures for review and supervision✓ Correct answer
Explanation
Why D — Firms 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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