RegulationsCâu 61 / 110
How long must a member firm retain records of its communications with the public?
a.Three years from the date of last use, and the first two years in an easily accessible place
b.One year from the date of first use
c.Five years from the date of creation
d.Permanently, with no exception
Giải thích
Communications records must be kept for three years from last use, with the earliest two years readily accessible for examination. The one-year and permanent options misstate the requirement. The five-year period applies to certain anti-money laundering records, not to general communications.
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 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:
- A retail communication concerning a registered investment company that includes fund performance generally must be filed with FINRA:
- Which practice is permitted when presenting mutual fund performance in a retail communication?
- A firm wants to include a customer testimonial in a retail communication. Which requirement applies?
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