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SIE: Communications & Sales Practices
SIE practice questionhardContent Prohibitions

Which of the following is strictly prohibited in any customer communication?

  1. APrincipal approval
  2. BDisclosure of risks
  3. CMisleading or exaggerated statements✓ Correct answer
  4. DExplanation of fees
Explanation

Why CMisleading or exaggerated statements

Misleading or exaggerated statements are prohibited in all customer communications.

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