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Communications, Complaints & Recordkeeping flashcards
21 cards on communications, complaints & recordkeeping for the SIE exam. Short answers, one fact per card, and a line under each explaining why. Here is what the prompts look like:
- A message sent to more than 25 individual investors in 30 days is a ＿＿＿ communicationAnswer inside
- Material sent only to banks and pension funds is an ＿＿＿ communicationAnswer inside
- Who must approve a retail communication before it is used?Answer inside
- Communications with the public must be kept for ＿＿＿ yearsAnswer inside
- Blotters, the general ledger, and customer account records must be kept for ＿＿＿ yearsAnswer inside
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