Series 6 - Investment Company And Variable Contracts Products Representative Exam
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 CEOA
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
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.