Giao dịch, Tài khoản & Hành vi cấmCâu 270 / 398
A firm plans to post an advertisement about a mutual fund on its public website, reaching thousands of retail investors. Generally, what must happen before it is used?
a.Nothing; website posts are exempt from review
b.The customer must sign a margin agreement
c.A registered principal must approve the retail communication before first use
d.The SEC must personally pre-clear the wording
Giải thích
Retail communications generally must be approved by a registered principal before first use (with limited exceptions). Certain communications, such as those about registered investment companies, may also need to be filed with FINRA within stated timeframes.
Trích dẫn luật: FINRA Rule 2210Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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