Series 26: Exercise

Taken from our Series 26 Online Guide

Exercise

Use the Following List of Words to Fill in the Blanks

(not all words will be used)

Recommendation

Retail

Disclosure

Correspondence

Static content

Disclaimer

1. _____ requires approval prior to being posted and is considered _____ communication.

2. _____does not require prior approval unless it contains a _____ for a specific product.

3. Testimonials within retail communications and correspondences regarding investment advice or performance must

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Solomon Exam Prep Study Materials for the Series 26
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