Series 26: Communications Filing And Recordkeeping

Communications Filing and Recordkeeping

The prospectus, as we have seen, is filed with the SEC as part of the registration process. The preliminary prospectus is filed as Part A of the registration statement. The final prospectus must be delivered to the SEC within five days once the registration has become effective.

Other retail communications generally must be approved by a principal of the member firm and filed with FINRA.