Regulations第 62 / 110 题
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
解析
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.
法律依据: FINRA Rule 2210 (Communications with the Public)免费刷完整 110 道题库 — 无需注册。
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