Question # 26

A registered rep is drafting a prospecting email to retail clients about a new bond fund. Which approach BEST aligns with FINRA communications standards when contacting prospects?

Options:

A.

Promise that the fund “will outperform Treasuries every year.”

B.

Omit risks to avoid “confusing” first-time investors.

C.

Include client testimonials without stating they may not be representative.

D.

Present objective performance data alongside fees and principal risks in a fair and balanced manner.

Viewing question 26 out of 68 questions
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