Podcast
Questions and Answers
- Which of the following is not one of the three general classes of communication with the public?
A. Institutional
B. Retail
C. Correspondence
D. Educational
- Which of the following is not one of the three general classes of communication with the public? A. Institutional B. Retail C. Correspondence D. Educational
Seacoast Securities is a new FINRA member firm. They are preparing a new marketing campaign, including a mass mail advertisement. The advertisement must be filed with
A. FINRA within 10 days of first use.
B. the SEC within 10 days of first use.
C. FINRA at least 10 days before use.
D. the SEC at least 10 days before use.
Seacoast Securities is a new FINRA member firm. They are preparing a new marketing campaign, including a mass mail advertisement. The advertisement must be filed with A. FINRA within 10 days of first use. B. the SEC within 10 days of first use. C. FINRA at least 10 days before use. D. the SEC at least 10 days before use.
3.Which of the following requires that the communication was issued by an independent publisher and not materially altered by the member?
A. IPR
B. Research report
C. A website article
D. A script for a public appearance
3.Which of the following requires that the communication was issued by an independent publisher and not materially altered by the member? A. IPR B. Research report C. A website article D. A script for a public appearance
- If a firm wanted to promote securities as an investment medium without referring to any specific security, it would likely use which of the following?
A. Generic advertising
B. An independent generic research report
C. A generic website post
D. A blind ad
- If a firm wanted to promote securities as an investment medium without referring to any specific security, it would likely use which of the following? A. Generic advertising B. An independent generic research report C. A generic website post D. A blind ad
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- Company-sponsored websites, set up by an individual registered representative, are considered
A. advertisements.
B. speculative, and may be preapproved by the representative before first use.
C. correspondence.
D. retail communications.
- Company-sponsored websites, set up by an individual registered representative, are considered A. advertisements. B. speculative, and may be preapproved by the representative before first use. C. correspondence. D. retail communications.
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