SIE: Exercise

Taken from our SIE Online Guide

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Exercise

Answer the following questions.

1. What are the three categories of public communication, according to FINRA?
2. Whitney has created a retail communication about options she wants to send to her customers. When does she need to file it?
3. Charles is mailing a retail communication regarding securities futures. When must Charles file this communication with FINRA?
4. Tracy is sending out a communication that will only go to institutional investors. When must he file this with FINRA?
5. Smith & Smith created a website with both static and interactive content. Wh

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