Regulations第 61 / 110 题
How long must a member firm retain records of its communications with the public?
a.Three years from the date of last use, and the first two years in an easily accessible place
b.One year from the date of first use
c.Five years from the date of creation
d.Permanently, with no exception
解析
Communications records must be kept for three years from last use, with the earliest two years readily accessible for examination. The one-year and permanent options misstate the requirement. The five-year period applies to certain anti-money laundering records, not to general communications.
法律依据: FINRA Rule 2210 (Communications with the Public)免费刷完整 110 道题库 — 无需注册。
同考点相关题目
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