MENU
Which of the following would not constitute a ''public appearance,'' as defined by FINRA?
Suggested Answer: B
Get Premium Series-6 Questions
as Interactive Web-Based Practice Test or PDF
Real Exam Format
Detailed Explanations
Instant Access
Get Your Practice Test
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.
33 comments · newest first
JA
Janae
12 months ago
I disagree, the tech fund adviser is just answering questions, not really "appearing."
MO
Mohammad
1 year ago
All of these seem like public appearances to me.
TA
Tawanna
1 year ago
Wait, so responding via a remote monitor isn't considered public? That's surprising!
ES
Estrella
1 year ago
I think the blog is more of a personal opinion, not a public appearance.
CA
Carmelina
1 year ago
A seminar at church definitely counts as a public appearance.
KA
Kati
1 year ago
I’m leaning towards D, but I’m not confident. I just remember that public appearances usually involve direct interaction with an audience.
WY
Wynell
1 year ago
I feel like the seminar definitely counts, but the blog seems more like personal commentary. Could that be different?
DA
Dallas
1 year ago
I remember practicing a question about public appearances, and I think they all might count, but I'm not completely sure.
SI
Sina
1 year 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?
KE
Kenneth
1 year ago
Hmm, the wording is a bit confusing. I'll need to read it carefully.
KI
Kirk
1 year 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.
LA
Lavonda
1 year 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.
RO
Rochell
1 year 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.
LE
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!
RY
Ryann
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.
CE
Ceola
1 year ago
B) A registered representative starts a blog that discusses the pros and cons of various types of investments.
CE
Celia
1 year ago
A) A registered representative gives a free seminar on the topic of asset allocation to members of her church.
CA
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.
KE
Kenia
2 years ago
Responding to a business newscaster? Definitely a public appearance, no doubt about it.
JA
Javier
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.
JO
Jolene
1 year ago
B) A registered representative starts a blog that discusses the pros and cons of various types of investments.
TE
Tegan
1 year ago
A) A registered representative gives a free seminar on the topic of asset allocation to members of her church.
JO
Jody
2 years ago
Blogging about investments? That's a bold move. FINRA might have a thing or two to say about that.
KR
Krissy
1 year ago
B) Yeah, blogging about investments can definitely raise some red flags with FINRA.
AL
Alysa
1 year ago
A) A registered representative gives a free seminar on the topic of asset allocation to members of her church.
JO
Josphine
2 years ago
But a blog is accessible to the public, so it would constitute a public appearance.
DA
Dalene
2 years ago
A free seminar at a church? That's a public appearance for sure. FINRA is pretty strict about that kind of thing.
LI
Lizette
1 year ago
D) All of the above constitute public appearances as defined by FINRA.
BO
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.
TH
Thea
2 years ago
B) A registered representative starts a blog that discusses the pros and cons of various types of investments.
LE
Leonard
2 years ago
A) A registered representative gives a free seminar on the topic of asset allocation to members of her church.
HO
Hoa
2 years ago
I disagree, I believe option B is the correct answer.
JO
Josphine
2 years ago
I think option D is the correct answer.