Finra Series-6 Exam - 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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Janae

7 months ago

I disagree, the tech fund adviser is just answering questions, not really "appearing."

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Mohammad

7 months ago

All of these seem like public appearances to me.

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Tawanna

7 months ago

Wait, so responding via a remote monitor isn't considered public? That's surprising!

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Estrella

7 months ago

I think the blog is more of a personal opinion, not a public appearance.

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Carmelina

7 months ago

A seminar at church definitely counts as a public appearance.

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Kati

8 months ago

I’m leaning towards D, but I’m not confident. I just remember that public appearances usually involve direct interaction with an audience.

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Wynell

8 months ago

I feel like the seminar definitely counts, but the blog seems more like personal commentary. Could that be different?

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Dallas

8 months ago

I remember practicing a question about public appearances, and I think they all might count, but I'm not completely sure.

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Sina

8 months ago

I think a public appearance is usually something more formal, like a seminar or a conference. So maybe the blog isn't considered one?

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Kenneth

8 months ago

Hmm, the wording is a bit confusing. I'll need to read it carefully.

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Kirk

8 months ago

I've got this one! The Cisco UCS C240 M5 is the clear choice here. It's designed for high-density CPU-intensive workloads, and the fact that the customer is using AMD EPYC processors makes it the perfect fit. I'm confident this is the right answer.

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Lavonda

8 months ago

Ah, this is a tricky one. I remember something about needing a personal social network account to view the social profiles, so I'm leaning towards D. But I'll double-check the other options just to be sure.

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Rochell

8 months ago

I'm a bit confused by this question. The wording about the "existing organizational paradigm" makes me think it could be a Revolution, but the need for quick changes makes me wonder if it's more of an Evolution. I'll have to re-read the question carefully and consider the options.

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Leah

1 year 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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Ryann

11 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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Ceola

11 months ago

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

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Celia

12 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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Cassi

1 year 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 year ago

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

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Javier

11 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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Jolene

11 months ago

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

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Tegan

11 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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Jody

1 year 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 year ago

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

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Alysa

1 year 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

1 year ago

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

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Dalene

1 year 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 year ago

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

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Bonita

1 year 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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