A registered representative wishes to put on a sales seminar. During the seminar, the RR intends to give out handouts related to a few inves

A registered representative wishes to put on a sales seminar. During the seminar, the RR intends to give out handouts related to a few investments and printouts of slides that will be part of the presentation. Which of the following is correct regarding the RR and seminar?

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  1. Answer:

    B

    Explanation:

    Registered representatives (RR) are transaction-based service providers. U.S. regulators require that registered representatives ensure an investment is suitable for an investor given their investment profile. They also ensure that trades are executed efficiently. Investors will incur sales charges determined by securities issuers when dealing with a registered representative. It is mandated that RR must seek the approval of their principal before taking any decision.

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