Series 14: Exercise

Exercise

Answer the following questions.

1.What are the three categories of public communication, according to FINRA?

2.Whitney has created a retail communication about options she wants to send to her customers. Once she has sent the communication, how many days does she have to file it?

3.Charles is mailing a retail communication regarding securities futures. When must Charles file this communication with FINRA?

4.Tracy is sending out a communication that will go only to institutional investors. When must he file this with FINRA?

5.Smith & Smith created a website wi