
Security Exam Chapter 15

Quiz
•
Other
•
Professional Development
•
Easy

Kirk Anderson
Used 2+ times
FREE Resource
50 questions
Show all answers
1.
FILL IN THE BLANK QUESTION
1 min • 1 pt
All documents are to be maintained readily accessible for the first ______ years.
2.
FILL IN THE BLANK QUESTION
1 min • 1 pt
Customer account information must be updated every ________ months.
3.
FILL IN THE BLANK QUESTION
1 min • 1 pt
_________________________ is any communication sent to 25 or fewer prospective retail customers within a 30-calendar-day period.
4.
FILL IN THE BLANK QUESTION
1 min • 1 pt
Under the communication rules, group email sent to more than 25 retail investors is considered _________________.
5.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
True or False: Under Regulation SP, requiring a client to write a letter to opt-out of information sharing is allowed.
True
False
6.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
True or False: On request, institutional communication may be provided to a retail client.
True
False. Institutional communication may never be provided to a retail investor.
7.
FILL IN THE BLANK QUESTION
1 min • 1 pt
If a firm acts in an agency capacity, the _______________ must be disclosed on a confirmation.
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