Practice Quiz

FINRA Series 6

Category - Series 6

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Which of the following would not be required to display prominently the name of the member firm issuing it?

I. sales literature distributed to an institutional investor
II. correspondence by a registered representative with her client
III. an advertisement to recruit new registered representatives
  1. I only
  2. I and II only
  3. III only
  4. I, II, and III
Explanation
Answer: C - Only an advertisement to recruit new registered representatives is not required to display prominently the name of the member firm issuing it.
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