Giao dịch, Tài khoản & Hành vi cấmCâu 288 / 398
Which statement about institutional communications is generally correct under FINRA rules?
a.They must always be pre-approved by a principal before first use, like retail communications
b.They may contain misleading claims because institutions are sophisticated
c.They are not subject to the same pre-use principal approval requirement as retail communications, but must still be supervised and cannot be misleading
d.They are exempt from all FINRA rules
Giải thích
Institutional communications generally do not require prior principal approval, but the firm must establish written procedures for their supervision and review. They still must be fair, balanced, and not misleading, and firms must ensure they are not forwarded to retail investors.
Trích dẫn luật: FINRA Rule 2210Luyện miễn phí toàn bộ 398 câu hỏi — không cần đăng ký.
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