SIE practice questioneasyTypes of Communication
Which of the following is considered retail communication by FINRA?
- AA mass email sent to 50 retail investors✓ Correct answer
- BA letter sent to a single institutional investor
- CAn internal memo circulated among registered representatives
- DA communication addressed to fewer than 25 retail investors
Explanation
Why A — A mass email sent to 50 retail investors
Retail communication includes any written or electronic communication distributed or made available to more than 25 retail investors within any 30-day period.
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