Regulations & ConductPregunta 114 de 125
A registered representative's communications with the public must be:
a.Designed to guarantee returns
b.Allowed to omit risks if they are unfavorable
c.Fair, balanced, and not misleading, presenting risks along with benefits
d.Approved only after distribution
Explicación
FINRA content standards require that communications be fair, balanced, and not misleading, providing a sound basis for evaluation and disclosing material risks alongside potential benefits. Promissory statements, guarantees of performance, and omission of material risk information are prohibited.
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