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SIE Exam Practice Question 1043

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.

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.

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