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

a. Insurance company
b. bank
c. savings and loans

1 Answer

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Answer:

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

Step-by-step explanation:

According to the Financial Industry Regulatory Authority (FINRA), an institutional communication refers to one that is attributed to an institutional investor such as a 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.

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