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SIE Exam Part 3 Unit 27 Study Guide with Complete Solutions FINRA - Answer️️ -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 - correspond...

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  • September 25, 2024
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  • 2024/2025
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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 Part 3 Unit 27 Study Guide
with Complete Solutions

FINRA - 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 - Answer✔️✔️-in accordance with FINRA, what are the three

categories of communication?

institutional communication - 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
1/5

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

Answer✔️✔️-what are some examples of institutional investors

retail communication - 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

retail investor - Answer✔️✔️-any person other than an institutional investor, regardless of

whether the person has an account with the member

correspondence - Answer✔️✔️-category for communication

- means any written (including electronic) communication that is distributed or made

available to 25 or fewer retail investors within any 30-calendar-day period

- each firm must establish if it will require principal approval of correspondence before

use or allow for post-use approval

True - Answer✔️✔️-True or False:

if they are not institutional customers, they are retail customers

the Telephone Consumer Protection Act of 1991 (TCPA) - Answer✔️✔️-Act that was

administered by the Federal Communications Commission (FCC)

- was enacted to protect consumers from unwanted telephone solicitations

(telemarketing)
2/5

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