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
