SIE practice questioneasyTypes of Communication
Which of the following is NOT considered correspondence under FINRA rules?
- AA one-on-one email to a retail customer
- BA letter sent to 5 retail investors
- CA brochure posted on the firm's public website✓ Correct answer
- DA text message sent to a single client
Explanation
Why C — A brochure posted on the firm's public website
Communications available to the general public, such as a website, are considered retail communications, not correspondence.
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