Finra Exam Series-6 Topic 2 Question 50 Discussion

Actual exam question for Finra's Series-6 exam

Question #: 50
Topic #: 2

Which of the following would not constitute a ''public appearance,'' as defined by FINRA?

AA registered representative gives a free seminar on the topic of asset allocation to members of her church.

BA registered representative starts a blog that discusses the pros and cons of various types of investments.

CThe investment adviser of a tech fund that has had phenomenal returns in the past 12 months responds to some questions from a business newscaster via a remote monitor.

DAll of the above constitute public appearances as defined by FINRA.

Show Suggested Answer

Suggested Answer: B

The true statement is that reinvested dividends and capital gain distributions count toward reaching a breakpoint under the rights of accumulation. The rights of accumulation are not something that all mutual funds with front-end loads must offer. There is no time limit on the accumulation period. The rights of accumulation and the letter of intent are two separate animals; neither has anything to do with the other.

by Ashlyn at Oct 28, 2022, 03:17 PM

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Leah

1 months ago

I wonder if FINRA would consider a stand-up comedy routine about financial regulations a public appearance. That could be a real crowd-pleaser!

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Celia

18 days ago

A) A registered representative gives a free seminar on the topic of asset allocation to members of her church.

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Cassi

1 months ago

All of the above? Wow, that's a tough one. FINRA must be really picky about what counts as a public appearance.

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Kenia

1 months ago

Responding to a business newscaster? Definitely a public appearance, no doubt about it.

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Jody

2 months ago

Blogging about investments? That's a bold move. FINRA might have a thing or two to say about that.

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Krissy

1 months ago

B) Yeah, blogging about investments can definitely raise some red flags with FINRA.

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Alysa

1 months ago

A) A registered representative gives a free seminar on the topic of asset allocation to members of her church.

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Josphine

2 months ago

But a blog is accessible to the public, so it would constitute a public appearance.

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Dalene

2 months ago

A free seminar at a church? That's a public appearance for sure. FINRA is pretty strict about that kind of thing.

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Lizette

1 months ago

D) All of the above constitute public appearances as defined by FINRA.

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Bonita

1 months ago

C) The investment adviser of a tech fund that has had phenomenal returns in the past 12 months responds to some questions from a business newscaster via a remote monitor.

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