SIE Exam Question 564: Answer and Explanation

Question: 564

All but which of the following are among the three categories of firm communications that are defined and regulated by FINRA Rule 2210?

• A. Correspondence
• B. Institutional communication
• C. Marketing communication
• D. Retail communication

Correct Answer: C

Explanation:

The three categories of firm communications that are defined and regulated by FINRA Rule 2210 are correspondence, institutional communication, and retail communication.