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.
Turn it into reps
Reading one answer is not the same as being ready
Lucky the Banker is a free practice app with 758+ Series 7 questions, weak-area tracking, and timed mock exams. No credit card, no paywall.
Spot an error in this question or explanation? Tell us — we fix these fast.
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:
- A registered representative plans to host a seminar for prospective clients that will include a detailed discussion of…
- Prior to conducting a seminar for potential clients, a registered representative must ensure that which of the…
- During a public seminar, a registered representative introduces a client who gives a testimonial about their investment…
- Which of the following is considered a 'public appearance' under FINRA rules?