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 she wants to send to her customers. When does she need to file it? 
3. 3. Charles is mailing 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 created a website with both static and interactive content. Wh