Series 6 - Investment Company And Variable Contracts Products Representative Exam
Preview Mode
Recordkeeping requirements for correspondence include all of the following EXCEPT:
The names of the persons who prepared the correspondence
A
The names of the persons who approved the correspondence
B
The names of the clients who received the correspondence
C
A file containing all retail correspondence and IPRs from three years from the date of first use
D
Explanations
FINRA does not require members to keep the names of clients who received communications.