SIE: Exercise

Exercise

Answer the following questions

1. 1. What are the three categories of public communication, according to FINRA?
2. 2. Whitney has created a retail communication about options that she wants to send to her clients. Once she has sent the communication, how many days does she have to file it?
3. 3. Charles is sending out a retail communication regarding securities futures. When must Charles file this communication with FINRA?
4. 4. Tracy is sending out a communication that will only go to institutional investors. When must he file this with FINRA?
5. 5. Smith & Smith