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A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of...

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A broker-dealer (BD) creates a marketing postcard that includes a statement regarding FINRA's endorsement of the BD. Which of the following responses is true?

A.

The statement regarding FINRA's endorsement is not permissible.

B.

The statement is permissible if a principal of the BD approves it in writing prior to use.

C.

The statement is permissible if the statement is approved in writing by FINRA prior to use.

D.

The statement is permissible if the postcard does not discuss specific investment opportunities.

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FINRA SIE Summary

  • Vendor: FINRA
  • Product: SIE
  • Update on: Jan 2, 2026
  • Questions: 188
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TESTED 02 Jan 2026