100% satisfaction guarantee Immediately available after payment Both online and in PDF No strings attached
logo-home
Previously searched by you
Previously searched by you
logo
SIE EXAM FINRA Rules Questions and Answers | 100% Pass $9.99   Add to cart
Quickly navigate to
Preview
  2.  
  3. Sie
  4.  
  5. Sie

Exam (elaborations)

SIE EXAM FINRA Rules Questions and Answers | 100% Pass
 0 view  0 purchase
  • Course
  • Sie
  • Institution
  • Sie

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...

[Show more]

Preview 2 out of 5  pages

Document information

  • September 25, 2024
  • 5
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

Subjects

  • sie exam finra rules questions and answers 100

Written for

  • Sie
  • Sie

Seller

avatar-seller
EmillyCharlotte

Content preview

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:

2/5

The benefits of buying summaries with Stuvia:

Guaranteed quality through customer reviews

Guaranteed quality through customer reviews

Stuvia customers have reviewed more than 700,000 summaries. This how you know that you are buying the best documents.

Quick and easy check-out

Quick and easy check-out

You can quickly pay through credit card or Stuvia-credit for the summaries. There is no membership needed.

Focus on what matters

Focus on what matters

Your fellow students write the study notes themselves, which is why the documents are always reliable and up-to-date. This ensures you quickly get to the core!

Frequently asked questions

What do I get when I buy this document?

You get a PDF, available immediately after your purchase. The purchased document is accessible anytime, anywhere and indefinitely through your profile.

Satisfaction guarantee: how does it work?

Our satisfaction guarantee ensures that you always find a study document that suits you well. You fill out a form, and our customer service team takes care of the rest.

Who am I buying these notes from?

Stuvia is a marketplace, so you are not buying this document from us, but from seller EmillyCharlotte. Stuvia facilitates payment to the seller.

Will I be stuck with a subscription?

No, you only buy these notes for $9.99. You're not tied to anything after your purchase.

Can Stuvia be trusted?

4.6 stars on Google & Trustpilot (+1000 reviews)

78121 documents were sold in the last 30 days

Founded in 2010, the go-to place to buy study notes for 14 years now

Start selling
$9.99
  • (0)
  Add to cart