Series 7 practice questioneasySeminars and Public Appearances — Recordkeeping
Which of the following must be retained by the broker-dealer after a seminar has taken place?
- AA recording of the seminar
- BCopies of all seminar materials and handouts✓ Correct answer
- CA signed attendance sheet
- DA list of questions asked by attendees
Explanation
Why B — Copies of all seminar materials and handouts
FINRA requires that broker-dealers retain copies of all seminar materials and handouts to demonstrate compliance with communication regulations.
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
- When presenting at a seminar, a registered representative must always:
- During a public seminar, a registered representative is NOT permitted to:
- Under FINRA rules, which of the following is TRUE regarding the use of client testimonials during a seminar?
- Prior to conducting a seminar for potential clients, a registered representative must ensure that which of the…
- Who is ultimately responsible for supervising the content of public seminars and appearances?
- Which of the following is considered a 'public appearance' under FINRA rules?
- A registered representative plans to host a seminar for prospective clients that will include a detailed discussion of…
- As part of a networking arrangement, a broker-dealer places registered representatives at a bank branch. Which of the…