SIE practice questionmediumCorrespondence vs. Retail Communication
A broker sends a newsletter to 22 retail clients in a 30-day period. How is this classified?
- ACorrespondence✓ Correct answer
- BRetail communication
- CInstitutional communication
- DPublic appearance
Explanation
Why A — Correspondence
Communication sent to 25 or fewer retail clients in 30 days is correspondence.
Turn it into reps
Reading one answer is not the same as being ready
Lucky the Banker is a free practice app with 1,867+ SIE questions, weak-area tracking, and timed mock exams. No credit card, no paywall.
Related Communications & Sales Practices questions
- Which of the following is TRUE regarding future projections in retail communications?
- Which of the following is TRUE about using performance data in retail communications?
- Which statement best describes a fair and balanced communication?
- A registered representative posts investment tips on her public social media profile. This is classified as: