SIE Exam Question 1043: Answer and Explanation

Question: 1043

According to FINRA Rule 2210, "correspondence" is defined as any written (including electronic) communication that is distributed or made available to __________ or fewer retail investors within any __________ calendar-day period.

• A. 25, 30
• B. 25, 60
• C. 50, 30
• D. 50, 60

Correct Answer: A

Explanation:

According to FINRA Rule 2210, "correspondence" is defined as any written (including electronic) communication that is distributed or made available to 25 or fewer retail investors within any 30 calendar-day period.