A registered representative of a FINRA member firm is going to present a seminar on retirement planning. It will be a slide show, and no specific advice will be given. The expected attendance is approximately 50 people. Under the FINRA rule on communications with the public,
A) this is a public appearance and no approvals are necessary.
B) this seminar can take place only if the recommendations are tailored to the specific needs of the audience.
C) a registered principal is required to attend to ensure that the standards of ethical conduct are maintained.
D) the slides are considered a retail communication and need principal approval before first use.

In this scenario, a registered representative of a FINRA member firm is going to present a seminar on retirement planning with an expected attendance of approximately 50 people. It will be a slide show, and no specific advice will be given.

Under the FINRA rule on communications with the public, this is a public appearance and no approvals are necessary.

According to FINRA, a public appearance can be defined as an unscripted, spontaneous live presentation to a group of people comprising of potential investors. A public appearance do not require a principal approval and are not bonded by the FINRA rules and regulations.

Additionally, FINRA is an acronym for Financial Industry Regulatory Authority. It is a non-profit agency in the United States of America, which is saddled with the responsibility of handling the licensing and regulation of broker-dealers in securities.

ogorwyne ogorwyne · Answer 2 · 2021-11-11T14:06:06+01:00

According to FINRA a registered principal is required to attend to ensure that the standards of ethical conduct are maintained.

According to the rule 2210 of FINRA it is required that every communication has to be done fairly and also in good faith.

FINRA is a regulatory organization that ensures that all investors and firms are able to participate well in the market and also have confidence in their dealings by protecting integrity.

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