SIE practice questionhardFiling with FINRA
Which retail communications must be filed 10 business days prior to first use with FINRA?
- ACommunications sent only to institutional investors
- BAll retail communications
- CAll correspondence
- DThose concerning registered investment companies with self-created rankings✓ Correct answer
Explanation
Why D — Those concerning registered investment companies with self-created rankings
Retail communications with self-created rankings about investment companies must be filed 10 business days prior to use.
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