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FINRA SIE Exam Part 3 Unit 27|20 Questions with Verified Answers,100% CORRECT
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FINRA SIE Exam Part 3 Unit 27|20 Questions with Verified Answers
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FINRA SIE Exam Part 3 Unit 27|20 Questions with VerifiedAnswers
FINRA - CORRECT ANSWER who holds BDs to general standards regarding all
member firm communications
- all member firm communications must be based on the principles of fair dealing
and good faith
- institutional
- retail
- correspondence - CORRECT ANSWER in accordance with FINRA, what are the
three categories of communication?
institutional communication - CORRECT ANSWER category of communication
- means any written (including electronic) communication that is distributed or
made available only to institutional investors, but it does not include a member's
internal communication (ex. internal memos)
- another member firm of RR
- a bank
- a savings and loan association
- an insurance company
- a registered investment company (mutual fund)
- an employee benefit plan
- a governmental entity or subdivision
- a person acting solely on behalf of an institutional investor
- any entity with $50 million or more of total assets, including natural persons -
CORRECT ANSWER what are some examples of institutional investors
retail communication - CORRECT ANSWER category for communication
- means any written (including electronic) communication that is distributed or
made available to more the 25 retail investors within any 30-calendar-day period
- a copy must be filed with FINRA
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