SIE practice questionmediumPublic Appearances
Which is NOT required for public appearances?
- ADisclosure of conflicts of interest
- BSupervisory procedures
- CFiling with FINRA before the appearance✓ Correct answer
- DCompliance with content standards
Explanation
Why C — Filing with FINRA before the appearance
Public appearances do not require pre-filing with FINRA, but must follow content and supervisory requirements.
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