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SIE EXAM FINRA Rules Questions and Answers | 100% Pass
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SIE EXAM FINRA Rules Questions and Answers | 100% Pass What are the FINRA Rules regarding - Communication - Correspondence? ️️ Correct-The FINRA Rules regarding - Communication - Correspondence is: ● Correspondence: ■ 25 or fewer retail investors in 30 days ■ Emails, small group let...

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  • September 25, 2024
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TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024

SIE EXAM FINRA Rules Questions and
Answers | 100% Pass

What are the FINRA Rules regarding - Communication - Correspondence?


✔️✔️Correct-The FINRA Rules regarding - Communication - Correspondence is:

● Correspondence:

■ 25 or fewer retail investors in 30 days

■ Emails, small group letters, etc.

■ No principal pre-approval

■ No filing with FINRA, but subject to review

What are the FINRA Rules regarding - Communication - Retail Communication?

✔️✔️Correct-The FINRA Rules regarding - Communication - Retail

Communication includes the following:

● Retail communications:

■ More than 25 retail investors in 30 days

■ Websites, billboards, mass mailings, etc.

■ Principal pre-approval required

■ RCs filed with FINRA 10 days before use (pre-filing):

● RCs from firms in 1st year of business

● Investment company performance rankings

● Securities futures communications
1/5

, TITLE: EMILLYCHARLOTTE 2024/2025 ACADEMIC PERIOD
OWNER: EMILLYCHARLOTTE
COPYRIGHT STATEMENT: ©2024 EMILLYCHARLOTTE. ALL RIGHTS RESERVED
FIRST PUBLISHED: SEPTEMBER 2024
■ RCs filed with FINRA within 10 days of use (post-filing):

● Investment company material without perf. ranks

● DPP and CMO communications

What are the FINRA Rules regarding - Communication - Institutional Communication?

✔️✔️Correct-The FINRA Rules regarding - Communication - Institutional

Communication is:

● Institutional communications:

■ Only made available to institutional investors

■ No principal pre-approval or filing with FINRA

What are the FINRA Rules regarding - Communication - Public Appearances?

✔️✔️Correct-The FINRA Rules regarding - Communication - Public Appearances is as

follows:

● Public appearances

■ Unscripted seminars or interviews on media programs

■ No pre-approval or filing with FINRA

■ Subject to written supervisory procedures (firm-based)

What are the FINRA Rules regarding - Continuing Education C.E. - Regulatory

Element?

✔️✔️Correct-The FINRA Rules regarding - Continuing Education C.E.- Regulatory

Element is:

● Continuing education C.E. - Regulatory element CE:

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