Series 7 practice questioneasyMarketing and Prospecting — Advertising Approval
Who is typically responsible for approving retail advertising materials before use?
- AThe branch manager
- BFINRA directly
- CThe client
- DA registered principal of the firm✓ Correct answer
Explanation
Why D — A registered principal of the firm
A registered principal of the broker-dealer must approve all retail communications prior to use to ensure compliance with regulatory standards.
Turn it into reps
Reading one answer is not the same as being ready
Lucky the Banker is a free practice app with 755+ Series 7 questions, weak-area tracking, and timed mock exams. No credit card, no paywall.
Related Seeks Business for the Broker-Dealer questions
- During which hours (in the customer's local time) may a registered representative make telephone solicitations under…
- Before recommending a security, a representative must first:
- A registered representative may pay a referral fee to:
- Which of the following is considered retail communication under FINRA rules?