Series 7 practice questioneasySeminars and Public Appearances — Supervision
Who is ultimately responsible for supervising the content of public seminars and appearances?
- AThe registered representative
- BA registered principal of the broker-dealer✓ Correct answer
- CThe branch operations manager
- DThe event coordinator
Explanation
Why B — A registered principal of the broker-dealer
A registered principal must supervise and approve the content of seminars and public appearances to ensure regulatory compliance.
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