Series 7 practice questioneasySeminars and Public Appearances — Disclosures
When presenting at a seminar, a registered representative must always:
- ADisclose all compensation received from product sponsors
- BDistribute prospectuses to all attendees
- CDisclose potential conflicts of interest✓ Correct answer
- DGuarantee investment returns
Explanation
Why C — Disclose potential conflicts of interest
Representatives are required to disclose any potential conflicts of interest to ensure transparency and protect investors.
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Related Seeks Business for the Broker-Dealer questions
- Under FINRA rules, which of the following is TRUE regarding the use of client testimonials during a seminar?
- Which of the following must be retained by the broker-dealer after a seminar has taken place?
- Who is ultimately responsible for supervising the content of public seminars and appearances?
- During a public seminar, a registered representative is NOT permitted to: