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.
Turn it into reps
Reading one answer is not the same as being ready
Lucky the Banker is a free practice app with 1,867+ SIE 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 Communications & Sales Practices questions
- If a retail communication includes a testimonial, what must be disclosed?
- Under FINRA rules, which of the following is TRUE regarding communications that include comparisons?
- When must a firm file retail communications concerning mutual funds with FINRA?
- What is the responsibility of firms regarding supervision of customer communications?
- A registered representative posts investment tips on her public social media profile. This is classified as:
- A firm's website contains product brochures available to the general public. How is this communication classified?
- Which of the following is TRUE about using performance data in retail communications?
- Which of the following is a key principle for all retail communications?