SIE (Securities Industry Essentials) Practice Exam

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A $5 million company is sending a written notice out to its 40 investors regarding its FINRA mandates. This is best considered as:

Retail Communication
Institutional Communication
Public Notice
Internal Memo

The correct answer is: Retail Communication

Option B Institutional communication usually refers to communication between a financial institution and its clients. This does not apply to the given scenario as it involves communication with investors, not clients. Option C: Public notice is a form of communication that is meant to be seen by a larger audience, such as the general public or stakeholders. This is not the most accurate description for the given scenario, as it specifically mentions targeting a group of investors. Option D: Internal memo refers to communication within an organization or company. This does not apply to the given scenario, as the communication is being sent to external investors, not internal team members.