SIE Exam Question 10: Answer and Explanation

Question: 10

Which of the following statements are true with respect to options communications that include historical performance?

• A. A Registered Options Principal determines that the records or statistics fairly present the status of the recommendations or transactions reported upon
• B. All relevant costs, including commissions, fees, and daily margin obligations, are disclosed and reflected in the performance
• C. They must state that the results presented should not and cannot be viewed as an indicator of future performance
• D. All of the above

Correct Answer: D

Explanation:

All of the statements are true with respect to options communications that include historical performance.