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SIE: Communications & Sales Practices
SIE practice questionmediumUse of Testimonials

Which of the following is always required when using a testimonial in retail communications?

  1. AThe individual's age
  2. BThe individual's investment history
  3. CDisclosure of any compensation paid✓ Correct answer
  4. DThe individual's employment history
Explanation

Why CDisclosure of any compensation paid

FINRA requires disclosure if the person giving a testimonial was compensated.

Turn it into reps

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