Regulations & ConductCâu 113 / 125
Under FINRA rules, communications with the public are generally categorized as:
a.Only advertisements
b.Retail communications, correspondence, and institutional communications
c.Only prospectuses
d.Solely social media posts
Giải thích
FINRA classifies public communications as retail communications (distributed to more than 25 retail investors in 30 days), correspondence (to 25 or fewer retail investors in 30 days), and institutional communications. Each category carries different approval, review, and recordkeeping requirements, with retail communications facing the most oversight.
Luyện miễn phí toàn bộ 125 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- A private placement conducted under Regulation D of the Securities Act of 1933 is:
- The Securities Exchange Act of 1934 is best known for:
- Trading securities on the basis of material, nonpublic information is prohibited as:
- A registered representative's communications with the public must be:
- Under anti-money laundering (AML) rules, a Currency Transaction Report (CTR) must generally be filed for cash transactions exceeding:
- A Suspicious Activity Report (SAR) is filed by a firm when:
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