RegulationsCâu 62 / 110
A retail communication concerning a registered investment company that includes fund performance generally must be filed with FINRA:
a.At least 10 business days before first use, in every case
b.Within 10 business days of first use
c.Within 90 days after the end of the calendar quarter
d.Only if a customer complains about it
Giải thích
Most investment company retail communications are filed with FINRA's Advertising Regulation Department within 10 business days after first use. Pre-use filing applies to specific categories, such as material from a firm in its first year of membership or communications about certain complex products. Quarterly batching and complaint-triggered filing are not part of the rule.
Trích dẫn luật: FINRA Rule 2210 (Communications with the Public)Luyện miễn phí toàn bộ 110 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- An institutional communication is one distributed exclusively to:
- Retail communications must generally be:
- How long must a member firm retain records of its communications with the public?
- Which practice is permitted when presenting mutual fund performance in a retail communication?
- A firm wants to include a customer testimonial in a retail communication. Which requirement applies?
- A customer deposits $12,000 in cash in a single business day. The firm must file:
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