Question

A registered representative works for a brokerage firm that is a dealer for a mutual fund complex. The RR has prepared a script and a slide presentation for a seminar on the funds in the complex and also intends to hand out prospectuses for the funds and a brochure that was created by her firm. In this situation, all of the following should be filed with FINRA, EXCEPT:

A The script
B The slide presentation
C The prospectus
D The brochure

Answer 1

Answer: In this situation, all of the given variables should be filed with FINRA, except: The prospectus

Retail communication is a engrossed or e-communication that is dealt out or made accessible to retail investors within a 30 day period. Script, presentation, and booklet are defined as retail communication and are to be filed with FINRA . Advertisements, fund record, and prospectuses are filed with the SEC are excused from the submission requirement.

Therefore the correct option in this case is (c).