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Series 7: Lecture Review > Unit 19: Communication with the Public > Flashcards

Unit 19: Communication with the Public Flashcards

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Series 7 Top-off Exam flashcards
1
Q

Retail

A

> 25 retail clients within 30 days
Needs Principal pre-approval

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2
Q

Correspondence

A

< or = 25 retail clients within 30 days
no Principal pre-approval

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3
Q

Institutional

A

Institutions only
no Principal pre-approval

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4
Q

New firms must

A

Pre file with FINRA 10 business days before use

new firms: 1 year in

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5
Q

Is prospectus retail?

A

No

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Series 7: Lecture Review (20 decks)

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