SIE practice questionmediumPublic Appearances
A registered representative speaks on a live television program about investment strategies. Which is TRUE?
- AThis is a public appearance and must comply with FINRA standards✓ Correct answer
- BThis is considered correspondence
- CThis does not require any firm supervision
- DThis is considered institutional communication
Explanation
Why A — This is a public appearance and must comply with FINRA standards
Live television presentations to the public are public appearances and must comply with FINRA standards.
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