Regulations第 60 / 110 题
Retail communications must generally be:
a.Approved by an appropriately registered principal before first use or filing
b.Approved by the SEC before use
c.Reviewed by the fund's board of directors
d.Approved by the customer in writing
解析
A registered principal of the firm must sign off on retail communications before they are used or filed, which places accountability inside the member firm. The SEC does not pre-approve sales material, and fund boards oversee the fund rather than a distributor's advertising. Customers never approve communications directed at them.
法律依据: FINRA Rule 2210 (Communications with the Public)免费刷完整 110 道题库 — 无需注册。
同考点相关题目
- Under FINRA's communications rules, a written message distributed to more than 25 retail investors within any 30 calendar-day period is classified as:
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- How long must a member firm retain records of its communications with the public?
- A retail communication concerning a registered investment company that includes fund performance generally must be filed with FINRA:
- Which practice is permitted when presenting mutual fund performance in a retail communication?