RegulationsCâu 59 / 110
An institutional communication is one distributed exclusively to:
a.Any customer with an account balance over $250,000
b.Institutional investors such as banks, insurance companies, registered investment companies, and qualifying entities
c.Employees of the member firm
d.Prospective retail customers who have signed a suitability waiver
Giải thích
The institutional category depends on the type of recipient, not on account size or paperwork, and covers entities such as banks, insurers, registered investment companies, and other qualifying institutions. A wealthy individual is still a retail investor. Suitability obligations cannot be waived by a customer signature.
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
- Which of the following would most likely be viewed as a prohibited practice by a registered representative?
- 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 representative emails an identical market update to 18 individual retail clients in one month. This communication is categorized as:
- Retail communications must generally be:
- How long must a member firm retain records of its communications with the public?
- A retail communication concerning a registered investment company that includes fund performance generally must be filed with FINRA:
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