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Free Series 7 Exam Practice Questions
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Question 1 of 10Seeks Business for the Broker-Dealer from Customers and Potential Customers
A registered representative writes a market commentary that recommends a mid-cap growth strategy and plans to email it to 40 retail prospects taken from a purchased lead list. None of the recipients is an institutional investor, and none has an account at the firm. Which statement correctly classifies the piece and describes the firm's review obligation?
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