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Giant Investments Mass Mails a Single-Page, Glossy Flyer That Lists

Question 202

Multiple Choice

Giant Investments mass mails a single-page, glossy flyer that lists the types of mutual funds it offers, along with a general explanation of what the investment objective of each type of fund is. The flyer also prominently provides Giant's contact information. Given these facts:


A) Giant Investments must submit a copy of this brochure within 10 days of its initial distribution date to FINRA.
B) a principal of Giant Investments must sign (or initial) and date the brochure, giving it his official approval.
C) the brochure will be subject to spot checks by FINRA and will need to be kept on file.
D) None of the above statements is true.

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