Regulations第 59 / 110 题
An institutional communication is one distributed exclusively to:
a.Any customer with an account balance over $250,000
b.Institutional investors such as banks, insurance companies, registered investment companies, and qualifying entities
c.Employees of the member firm
d.Prospective retail customers who have signed a suitability waiver
解析
The institutional category depends on the type of recipient, not on account size or paperwork, and covers entities such as banks, insurers, registered investment companies, and other qualifying institutions. A wealthy individual is still a retail investor. Suitability obligations cannot be waived by a customer signature.
法律依据: FINRA Rule 2210 (Communications with the Public)免费刷完整 110 道题库 — 无需注册。
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