Business
Business, 29.07.2020 17:01, cupcakes5335

A registered representative has prepared a sales piece for one of his retail customers demonstrating a trading strategy. Regarding the piece which of the following statements is TRUE? A) The piece will be regulated as a retail communication with the public.
B) The piece must be approved by a principal prior to being sent to the customer.
C) All material sent to individual clients must be submitted to FINRA before use.
D) The piece will be regulated as correspondence.

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Answers: 3

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A registered representative has prepared a sales piece for one of his retail customers demonstrating...

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