FINRA /
Series
/ //
6 Exam Questions With Correct Answers
// // // // //
Retail //Communication //- //verified //answer(s)-
✔✔"any /
/written /
/(including //electronic) //communication //that //is //distributed //or //made //available //to //more //than
//25 //retail //investors //within //any //30 //calendar-day //period.
*Preapproval //of //a //principal //is //required //(prior //to //use).
Correspondence //- //verified //answer(s)-
✔✔written /
/or /
/electronic /
/communication /
/that //is //distributed //or //made //available //to //25 //or //fewer //retail //investors //within //any //30-
calendar-day //period
**Pre- //or //post-review //of //a //principal //is //required //(reviewed //before //or //after //use).
Institutional //communication //- //verified //answer(s)-
✔✔any /
/written /
/communication /
/that /
/is /
/distributed /
/or /
/made /
/available /
/only /
,/to /
/institutional //investors //but //does //not //include //a //member //firm's //internal //communications.
**No //preapproval //of //a //principal //is //required
Public //Appearance //- //verified //answer(s)-
✔✔participation /
/in //
a/
/seminar, /
/webinar, /
/forum /
/(including /
/an /
/interactive /
/electronic /
/forum /
/such /
/as //
a/
/chat /
/room), /
/radio //or //television //interview, //or //other //public //appearance //or //public //speaking //activity.
**Preapproval //of //a //principal //may //be //required //but //is //not //mandated
independently //prepared //reprint //(IPR) //- //verified //answer(s)-
✔✔consists /
/of /
/any /
/article /
/reprint /
/that /
/meets /
/certain /
/standards /
/designed /
,/to /
/ensure /
/that /
/the /
/reprint /
/was /
/issued //by //an //independent //publisher //and //was //not //materially //altered //by //the //member
**must /
/be /
/preapproved /
/by //a //principal //if //the //communication //meets //the //definition //of //a //retail //communication.
research //report //- //verified //answer(s)-
✔✔is //
a/
/document /
/prepared /
/by /
/an //analyst //or //strategist, //typically //as //part //of //a //research //team //for //an //investment //bank //or
//broker-dealer.
**Research /
/reports /
/must /
/be /
/preapproved /
/by //a //principal //if //the //communication //meets //the //definition //of //a //retail //communication
electronic //communications //- //verified //answer(s)-
✔✔Websites, /
/whether /
/sponsored /
/by /
/the /
/company /
, /itself /
/or /
/set /
/up /
/by /
/an /
/individual /
/registered /
/representative, /
/are /
/considered /
/retail /
/communications /
/and /
/are /
/subject /
/to /
/applicable /
/filing /
/and /
/recordkeeping /
/rules. /
/They /
/must /
/be /
/reviewed /
/and /
/approved /
/by //
a/
/principal /
/prior //to //first //use //and //must //contain //no //exaggerated //claims //or //misleading //information.
Electronic //bulletin //boards //- //verified //answer(s)-
✔✔are /
/also /
/considered /
Series
/ //
6 Exam Questions With Correct Answers
// // // // //
Retail //Communication //- //verified //answer(s)-
✔✔"any /
/written /
/(including //electronic) //communication //that //is //distributed //or //made //available //to //more //than
//25 //retail //investors //within //any //30 //calendar-day //period.
*Preapproval //of //a //principal //is //required //(prior //to //use).
Correspondence //- //verified //answer(s)-
✔✔written /
/or /
/electronic /
/communication /
/that //is //distributed //or //made //available //to //25 //or //fewer //retail //investors //within //any //30-
calendar-day //period
**Pre- //or //post-review //of //a //principal //is //required //(reviewed //before //or //after //use).
Institutional //communication //- //verified //answer(s)-
✔✔any /
/written /
/communication /
/that /
/is /
/distributed /
/or /
/made /
/available /
/only /
,/to /
/institutional //investors //but //does //not //include //a //member //firm's //internal //communications.
**No //preapproval //of //a //principal //is //required
Public //Appearance //- //verified //answer(s)-
✔✔participation /
/in //
a/
/seminar, /
/webinar, /
/forum /
/(including /
/an /
/interactive /
/electronic /
/forum /
/such /
/as //
a/
/chat /
/room), /
/radio //or //television //interview, //or //other //public //appearance //or //public //speaking //activity.
**Preapproval //of //a //principal //may //be //required //but //is //not //mandated
independently //prepared //reprint //(IPR) //- //verified //answer(s)-
✔✔consists /
/of /
/any /
/article /
/reprint /
/that /
/meets /
/certain /
/standards /
/designed /
,/to /
/ensure /
/that /
/the /
/reprint /
/was /
/issued //by //an //independent //publisher //and //was //not //materially //altered //by //the //member
**must /
/be /
/preapproved /
/by //a //principal //if //the //communication //meets //the //definition //of //a //retail //communication.
research //report //- //verified //answer(s)-
✔✔is //
a/
/document /
/prepared /
/by /
/an //analyst //or //strategist, //typically //as //part //of //a //research //team //for //an //investment //bank //or
//broker-dealer.
**Research /
/reports /
/must /
/be /
/preapproved /
/by //a //principal //if //the //communication //meets //the //definition //of //a //retail //communication
electronic //communications //- //verified //answer(s)-
✔✔Websites, /
/whether /
/sponsored /
/by /
/the /
/company /
, /itself /
/or /
/set /
/up /
/by /
/an /
/individual /
/registered /
/representative, /
/are /
/considered /
/retail /
/communications /
/and /
/are /
/subject /
/to /
/applicable /
/filing /
/and /
/recordkeeping /
/rules. /
/They /
/must /
/be /
/reviewed /
/and /
/approved /
/by //
a/
/principal /
/prior //to //first //use //and //must //contain //no //exaggerated //claims //or //misleading //information.
Electronic //bulletin //boards //- //verified //answer(s)-
✔✔are /
/also /
/considered /
