SIE practice questionhardContent Standards
FINRA rules require what for all customer communications?
- AThat they are filed monthly with FINRA
- BThat they are only distributed to existing clients
- CThat they always guarantee returns
- DThat they are not misleading and present a balanced view of risks and rewards✓ Correct answer
Explanation
Why D — That they are not misleading and present a balanced view of risks and rewards
Communications must not be misleading and must present a fair and balanced view.
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