Series 99: Exercise

Exercise

Answer true or false.

1. 1. ___ Typically, email communications do not need to be approved by a principal prior to approval.
2. 2. ___ Typically, a market letter that goes out to 100 retail customers would need to be approved by a principal prior to first use.
3. 3. ___ Typically, a market letter that goes out to 1,000 institutional customers would need to be approved by a principal prior to first use.
4. 4. ___ It is prohibited for a representative to call a potential