Series 7 practice questioneasySeminars and Public Appearances — Approval
Prior to conducting a seminar for potential clients, a registered representative must ensure that which of the following is approved by a principal?
- AThe refreshments menu
- BThe attendance list
- CThe content and materials to be presented✓ Correct answer
- DThe venue contract
Explanation
Why C — The content and materials to be presented
FINRA requires that seminar content and materials be approved by a principal to ensure compliance with regulatory guidelines and accuracy.
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