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