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Business, 20.01.2021 05:30 gwendallinesikes

A FINRA member firm sends a promotional piece to 23 individuals over a three-day period. Ten of these individuals are current customers of the firm. The other 13 are prospects whose names came from a commercially available mailing list service. Under the FINRA rule on communications with the public, this promotional piece would be considered

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A FINRA member firm sends a promotional piece to 23 individuals over a three-day period. Ten of thes...

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