Series 6 - Investment Company And Variable Contracts Products Representative Exam
Preview Mode
Correspondence includes any written or electronic communication that is distributed or made available to
more than 25 retail investors within any 30-calendar-day period
A
25 or fewer retail investors in any 30-calendar-day period
B
More than 10 retail investors in any 10-calendar-day period
C
Between 30 and 45 retail investors in any 60-calendar-day period
D
Explanations
Correspondence is written or electronic communication distributed to 25 or fewer retail investors in any 30-calendar-day period.