SIE practice questionmediumRegulation S-AM
Regulation S-AM restricts broker-dealers from sharing which type of information?
- AFinancial statements
- BTrade confirmations
- CConsumer report information with affiliates for marketing✓ Correct answer
- DProspectuses
Explanation
Why C — Consumer report information with affiliates for marketing
Regulation S-AM limits sharing consumer report information for marketing purposes.
Turn it into reps
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