Giao dịch, Tài khoản & Hành vi cấmCâu 269 / 398
Under FINRA communications rules, a communication distributed to more than 25 retail investors within any 30-calendar-day period is classified as:
a.Correspondence
b.A retail communication
c.An institutional communication
d.A private placement memorandum
Giải thích
FINRA Rule 2210 defines a retail communication as any written communication distributed to more than 25 retail investors in a 30-day period. Correspondence goes to 25 or fewer retail investors, and institutional communications go only to institutional investors.
Trích dẫn luật: FINRA Rule 2210Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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