SEC 5.1

1. 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.

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

4. 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

5. 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.