Series 6 - Investment Company And Variable Contracts Products Representative Exam

Preview Mode

During a FINRA member's first year of operation, it must file any retail communication published or used in any electronic or public media

30 business days before first use
A
10 calendar days before first use
B
3 business days before first use
C
10 business days before first use
D

Explanations

FINRA member firms in their first year of operations must file all retail communications at least 10 business days before the date of first use.

Pricing