Series 28: Exercise

Taken from our Series 28 Online Guide

Exercise

Answer true or false

  1. 1. True or false. Typically, email correspondence does not need to be approved by a principal prior to first use.
  2. 2. True or false. Typically, a market letter that goes out to 100 retail clients would need to be approved by a principal prior to first use.
  3. 3. True or false. Typically, a market letter that goes out to 1,000 institutional clients would need to be approved by a principal prior to first use.
  4. 4. True or false. Principal approval is not required of a retail communication that is posted on an electronic forum and does not recommend a product.
  5. 5. True or false. A principal must review all internal communications and written correspondence for their content.

Answers

  1. 1. True. Any written letter or email message that is distributed to fewer than 25 retail customers withi

Since you're reading about Series 28: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 28
Please Enable Javascript
to view this content!