SIE practice questionhardContent Prohibitions
Which of the following is strictly prohibited in any customer communication?
- APrincipal approval
- BDisclosure of risks
- CMisleading or exaggerated statements✓ Correct answer
- DExplanation of fees
Explanation
Why C — Misleading or exaggerated statements
Misleading or exaggerated statements are prohibited in all customer communications.
Turn it into reps
Reading one answer is not the same as being ready
Lucky the Banker is a free practice app with 1,867+ SIE questions, weak-area tracking, and timed mock exams. No credit card, no paywall.
Spot an error in this question or explanation? Tell us — we fix these fast.
Related Communications & Sales Practices questions
- What must a firm have in place for all customer communications?
- When using investment company rankings in retail communications, which of the following is required?
- Which of the following is TRUE about supervision of public appearances?
- FINRA rules require what for all customer communications?
- Which is required when a compensated testimonial is used in retail communication?
- Which of the following is always required when using a testimonial in retail communications?
- A broker-dealer creates a retail communication for a new mutual fund with a self-created ranking. When must it be filed…
- A registered representative tweets about a new investment product. This is considered: