RegulationsCâu 57 / 110
Under FINRA's communications rules, a written message distributed to more than 25 retail investors within any 30 calendar-day period is classified as:
a.Correspondence
b.An institutional communication
c.A retail communication
d.A public appearance
Giải thích
The 25-recipient threshold in a rolling 30-day window separates correspondence from retail communications, and exceeding it triggers the stricter principal approval and filing framework. Institutional communications are those directed only to institutional investors. A public appearance covers unscripted live presentations rather than written material.
Trích dẫn luật: FINRA Rule 2210 (Communications with the Public)Luyện miễn phí toàn bộ 110 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- A registered representative may share in the profits and losses of a customer's account only if:
- A representative tells a prospect, "Buy this fund before Friday's record date so you get the $0.40 per share distribution for free." This statement is:
- Which of the following would most likely be viewed as a prohibited practice by a registered representative?
- A representative emails an identical market update to 18 individual retail clients in one month. This communication is categorized as:
- An institutional communication is one distributed exclusively to:
- Retail communications must generally be:
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