Series 7 practice questionmediumMarketing and Prospecting — Responding to Prospect Inquiries
A prospective client contacts a registered representative via email requesting more information about municipal bonds. Which is the most appropriate next step?
- AAutomatically add the prospect to marketing email lists.
- BDiscuss specific municipal securities only after confirming the prospect’s suitability.✓ Correct answer
- CSend investment recommendations immediately.
- DSend a generic municipal bond brochure without principal approval.
Explanation
Why B — Discuss specific municipal securities only after confirming the prospect’s suitability.
Suitability must be determined before making specific investment recommendations, even in response to client-initiated inquiries.
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