Business, 04.02.2022 04:40 weeman67161

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

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