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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