Giao dịch, Tài khoản & Hành vi cấmCâu 287 / 398
Under FINRA Rule 2210, 'correspondence' generally refers to a written communication distributed to how many retail investors within a 30-day period?
a.More than 100
b.25 or fewer
c.Exactly 50
d.Only institutional investors
Giải thích
Correspondence is a written communication distributed to 25 or fewer retail investors within any 30-calendar-day period. This is distinct from retail communications (more than 25 retail investors) and institutional communications (institutional investors only).
Trích dẫn luật: FINRA Rule 2210Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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