Security Exam Chapter 15

Security Exam Chapter 15

Professional Development

50 Qs

quiz-placeholder

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Security Exam Chapter 15

Security Exam Chapter 15

Assessment

Quiz

Other

Professional Development

Easy

Created by

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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