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Question # 56

A rep invites clients to a dinner seminar about annuities. What disclosure is REQUIRED?

Options:

A.

That the seminar is for educational purposes only and not a sales event

B.

That the event may discuss investments and the firm sponsoring it

C.

That attendance obligates clients to purchase an annuity

D.

That FINRA has endorsed the presentation

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Series 7 License Overview

Name Series 7 License
Code Series 7 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 7 License Questions