Business, 04.09.2020 19:01, codnernae2423
A registered representative of a FINRA member firm is going to present a seminar on retirement planning. It will be a slide show, and no specific advice will be given. The expected attendance is approximately 50 people. Under the FINRA rule on communications with the public,
A) this is a public appearance and no approvals are necessary.
B) this seminar can take place only if the recommendations are tailored to the specific needs of the audience.
C) a registered principal is required to attend to ensure that the standards of ethical conduct are maintained.
D) the slides are considered a retail communication and need principal approval before first use.
Answers: 3
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Consider the country of morrow which is currently operating at full employment. suppose there is a decrease in investment
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Why are the four primary service outputs of spatial convenience, lot size, waiting time, and product variety important to logistics management? provide examples of competing firms that differ in the level of each service output provided to customers?
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Business, 22.06.2019 13:50, 2023apd
Diamond motor car company produces some of the most luxurious and expensive cars in the world. typically, only a single dealership is authorized to sell its cars in certain major cities. in less populous areas, diamond authorizes a single dealer for an entire state or region. the manufacturer of diamond automobiles is using a(n) distribution strategy for its product.
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A registered representative of a FINRA member firm is going to present a seminar on retirement plann...
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