Series 6 - Investment Company And Variable Contracts Products Representative Exam
Recordkeeping requirements for correspondence include all of the following EXCEPT:
The names of the persons who prepared the correspondenceA
The names of the persons who approved the correspondenceB
The names of the clients who received the correspondenceC
A file containing all retail correspondence and IPRs from three years from the date of first useD
FINRA does not require members to keep the names of clients who received communications.