Series 6 - Investment Company And Variable Contracts Products Representative Exam

Preview Mode
Start Training Session

Retail communications for investment companies that include a ranking that is generally not published must be filed with FINRA how many days before first use?

3 business days
A
10 business days
B
5 calendar days
C
30 calendar days
D
Training

Explanations

Retail communications for investment companies that include a ranking or comparison that is generally not published, or is the creation of the investment company or the member must be filed with FINRA at least 10 business days before first use.

Pricing