Series 6 - Investment Company And Variable Contracts Products Representative Exam
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Which of the following requires a FINRA filing at least 10 business days before first use?
A letter to a dozen clients introducing the firm's new CEO
A
An advertisement for the ABC Fund Company, which became a FINRA member 11 months ago.
B
Retail investor communication that includes a Morningstar rating.
C
A mutual fund ad for an established firm.
D
Explanations
A firm must file all published retail communications with FINRA at least 10 days before first use for the first year after the firm has registered with FINRA.