Business, 08.01.2020 01:31, brookephillips1099
All of the following are true about the correspondence category of communications with the public except?
a) correspondence is defined to be any written communication sent to 25 or fewer retail investors within 30 calendar days.
b) correspondence excludes electronic communications.
c) retail investors include both prospective and existing clients.
d) principal approval is generally not required if the correspondence does not include recommendations or promote the firm.
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All of the following are true about the correspondence category of communications with the public ex...
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