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.
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