SIE practice questionmediumSupervision
What is the responsibility of firms regarding supervision of customer communications?
- AFirms must have written procedures to supervise all communications✓ Correct answer
- BSupervision is only required for retail communications
- CSupervision is not necessary for institutional communications
- DFINRA supervises all firm communications directly
Explanation
Why A — Firms must have written procedures to supervise all communications
Firms are required to have written supervisory procedures for all types of customer communications.
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