3 years ago

All of the following are defined as "institutional clients" for purposes of the FINRA communications rules EXCEPT:

Business

1 answer:

lions [1.4K]3 years ago

6 0

Answer:

The correct answer is: All of the above are considered institutional communication clients.

Explanation:

According to the Financial Industry Regulatory Authority (<em>FINRA</em>), an institutional communication refers to one that is attributed to an institutional investor such as a <em>bank, savings, and loan, an insurance company, a registered investment company or adviser, an employee benefit plan with a minimum of one hundred (100) participants, a government entity or a person with at least $50 million of assets for investment</em>.

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