Series 26: Exercise

Exercise

Answer True or False

1. True or false. Typically, email communications do not need to be approved by a principal prior to approval.

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. True or false. Typically, a market letter that goes out to 1,000 institutional clients would need to be approved by a p