Series 6 - Investment Company And Variable Contracts Products Representative Exam

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FINRA may grant an exception from the prior principal approval of retail communications if:

The communication is posted to an online interactive electronic forum.
A
The communication is included in a sales advertisement in a business journal for financial advisors.
B
The communication promotes the services of another FINRA member.
C
The communication is an addendum to a fund's prospectus.
D

Explanations

The requirement of prior principal approval generally does not apply with regard to anything posted on an online interactive electronic forum.