1
Q
Any appearance by a registered representative where options are to be discussed must be
A
approved by an ROP
2
Q
Static content on any social networking site or the firm’s website must be
A
preapproved by a principal.
3
Q
A firm that has not previously filed advertisements with FINRA must
A
file its initial advertisement with FINRA 10 calendar days prior to first use AND must continue to do prefile for 1 year period
