SIE practice questionhardPublic Appearances
Which of the following is TRUE about supervision of public appearances?
- AThey are exempt from content standards
- BThey require filing with FINRA before each event
- CFirms must have procedures to supervise them✓ Correct answer
- DThey do not require any disclosures
Explanation
Why C — Firms must have procedures to supervise them
Firms must supervise public appearances to ensure compliance with FINRA content standards.
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