Series 7 practice questioneasySeminars and Public Appearances — Definition
Which of the following is considered a 'public appearance' under FINRA rules?
- AA television interview discussing market trends✓ Correct answer
- BA written communication sent to one client
- CA private meeting with an individual client
- DA memorandum distributed only to firm employees
Explanation
Why A — A television interview discussing market trends
A public appearance includes unscripted, live presentations such as TV interviews that reach a broad audience, while private meetings and internal memos do not qualify.
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