SIE practice questionmediumContent Standards
Under FINRA rules, which of the following is TRUE regarding communications that include comparisons?
- AComparisons must be fair and include risks✓ Correct answer
- BComparisons can only highlight benefits
- CComparisons may be made without supporting data
- DComparisons are not allowed in retail communications
Explanation
Why A — Comparisons must be fair and include risks
Comparisons must be balanced and substantiated, including risks as well as benefits.
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