Series 7 practice questionmediumSeminars and Public Appearances — Guest Speakers
A registered representative invites a guest speaker, who is not registered, to discuss tax strategies at a seminar. What must be ensured to comply with FINRA rules?
- AThe guest speaker must not make securities recommendations or discuss specific investments.✓ Correct answer
- BThe guest speaker must be registered with FINRA.
- CThe guest must be supervised by a principal during the presentation.
- DAll attendee questions must be submitted in advance.
Explanation
Why A — The guest speaker must not make securities recommendations or discuss specific investments.
Non-registered guest speakers may not recommend or discuss specific securities; otherwise, they would be acting as an unregistered representative.
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