Business, 26.10.2019 01:43 gyliahicks
Afinancial journal publishes an article on a fund sold by your firm. an rr reads the article and wants to cut the article out of the journal and send it directly to clients. in this situation, what course of action must be taken in order to distribute the article?
a. the rr can send the article to customers because it has already been made available to the public by the financial journal.
b. prior to using the article and sending it to clients, the rr must submit the article to a principal at the firm for review and approval.
c. no approvals are required provided the rr does not alter the article in any way.
d. the article can be sent provided it is approved within 10 days by the rr's supervisory principal.
Answers: 2
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Afinancial journal publishes an article on a fund sold by your firm. an rr reads the article and wan...
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