Series 16 Practice Questions - Series 16 Supervisory Analyst Exam

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A research report is approved by the Supervisory Analyst on Monday and scheduled for distribution on Wednesday. The analyst makes minor formatting changes on Tuesday. What records must be retained?

Only the final version distributed on Wednesday Both the version approved on Monday and the final version distributed on Wednesday Only the version approved on Monday No records need to be retained for formatting changes

Correct Answer:

Both the version approved on Monday and the final version distributed on Wednesday

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