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FINRA Series 6

Category - Series 6

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Which of the following does not fall under the category of “sales literature,” as defined by FINRA?

a research report mailed only to a fund’s existing clients
an announcement containing some biological information on a registered representative who has just joined the firm
PowerPoint slides that have been prepared to use in a seminar
Reprints of an article that appeared in a financial publication about a specific mutual fund

Explanation

Answer: B - An announcement containing some biological information on a registered representative who has just joined the firm does not fall under the category of “sales literature,” as defined by FINRA since it does not constitute a sales solicitation. All of the other choices are regarded as “sales literature” by FINRA.

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FINRA Series 6

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FINRA Series 6

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