Series 14: Exercise

Taken from our Series 14 Online Guide

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

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I took the test yesterday and passed! I think I started your program on Monday. I have 15 years of banking experience but needed to retake exams as they lapsed between out of industry jobs. Despite the experience, all of the specifics around the number days you have pre and post certain events for a filing etc. needed to be refreshed.

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