Practice Quiz

FINRA Series 6

Category - Series 6

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Which of the following would not constitute a “public appearance,” as defined by FINRA?
  1. A registered representative gives a free seminar on the topic of asset allocation to members of her church.
  2. A registered representative starts a blog that discusses the pros and cons of various types of investments.
  3. The investment adviser of a tech fund that has had phenomenal returns in the past 12 months responds to some questions from a business newscaster via a remote monitor.
  4. All of the above constitute public appearances as defined by FINRA.
Explanation
Answer: D - All of the choices constitute public appearances as defined by FINRA.A public appearance is defined by FINRA as “participation in a seminar, forum (including an interactive electronic forum), radio or television interview, or other public appearance or public speaking
activity.”
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