Series 6 - Investment Company And Variable Contracts Products Representative Exam

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If a registered representative wants to send an independently prepared report (IPR) to a prospect. Which guideline must be followed?

The representative may alter the contents of the IPR to make it more appealing to the prospect.
A
The IPR does not require principal preapproval.
B
The IPR's publisher must not be an affiliate of the registered representative.
C
The IPR is not exempted from FINRA filing requirements.
D

Explanations

An article reprint qualifies as an IPR only if the publisher is not an affiliate of the member using the reprint.

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