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SIE: Communications & Sales Practices
SIE practice questionmediumContent Standards

A communication claims an investment is 'guaranteed safe.' What is the regulatory issue?

  1. AIt is misleading as most investments have risk✓ Correct answer
  2. BIt is allowed if approved by a principal
  3. CIt is allowed if no performance data is shown
  4. DIt is allowed with customer consent
Explanation

Why AIt is misleading as most investments have risk

Claims like 'guaranteed safe' are misleading and prohibited by FINRA.

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