SIE Exam Practice Question 823

Question: 823

Which of the following is correct regarding the SEC's guidance on the "testimonial rule" and social media?

A. Testimonials were originally addressed in Rule 206(4)-1(a)(1) of the Investment Advisers Act of 1940.

B. Advisers are allowed to select favorable testimonials to include on their websites only if client names are kept confidential.

C. Advisers are allowed to select favorable testimonials to include on their websites only if they receive permission from the clients, and they post each client's full name.

D. None of the above are correct.

SIE Exam Practice Question 823

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