A brokerage research department has been following the common stock of Acme Corporation and has prepared a favorable research report on the company. The brokerage firm is a member of a syndicate handling an issue of Acme common stock that is currently in registration. A registered representative wishes to send the research report to all of his customers. Which statement is TRUE?
A. The report can be sent only if it has been approved by a supervisory analyst
B. The report can be sent only if it is accompanied, or preceded by, a preliminary prospectus
C. The report can be sent only if it has been approved by the branch office manager
D. The report cannot be sent until registration is effective
Answers: 2
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A brokerage research department has been following the common stock of Acme Corporation and has prep...
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