Business, 18.08.2021 01:10 daisyperez1

A registered representative wants to place advertisements in his daughters youth athletic league quarterly sponsorship booklet. He wants to convey in the weekly bulletin at his church that he specializes in retirement planning and 529 plans. Which of the following statements regarding these advertisements is true? A) The advertisement is considered institutional communications and therefore no principal pre-approval is required.
B) No approval is required because both the youth athletic league and the church would be recognized as bona fide non-profits.
C) Pre-approval by a principal of the broker-dealer is required.
D) The piece will be regulated as correspondence because it is only being forwarded to two organizations.

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