Series 6 - Investment Company And Variable Contracts Products Representative Exam
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
Preapproval of a principal may be required by a firm, but not mandated.