Series 6 - Investment Company And Variable Contracts Products Representative Exam
Preview Mode
A registered representative attends a conference where she presents a slideshow to attendees. Which of the following is true?
The preapproval of a principal may be required, but is not mandated.
A
The representative does not have to disclose any conflicts of interest when publicly recommending a security.
B
FINRA does not require evidence that associated persons making public appearances have been trained on the firm's procedures.
C
Scripts for the presentation are not considered communications.
D
Explanations
Preapproval of a principal may be required by a firm, but not mandated.
Pricing
Basic
Part of the questions for each course
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- Course
- Questions
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- SIE
- 20 of 150
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- Series 6
- 30 of 500
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- Series 7
- 50 of 625