reg

Websites established by brokerage firms are considered to be

Advertising

SEC Regulation FD covers

selective disclosure of material non-public information by issuers

After 3 cold calls, a prospect asks to be placed on the firm's "Do Not Call" list. His name will remain on the list for

5 years from the date of the request

Which of the following are appointed as trustees under the Trust Indenture Act of 1939?

Banks and Trust Companies

A member of the board of directors does not need to be

Licensed

A registered representative has written a script that will be used to make unsolicited telephone calls to potential retail customers. The representative has a list of 150 potential clients who will be called. Who is suppose to aprove it?

General principal

Which four are mainly exempt securities under securities act of 33?

Government bonds, municipal bonds, state chartered bank issues and small business investment companies

Which of the following is an exempt security under the Securities Act of 1933?

Small Business Investment Company

If a customer wants to receive prospectus to her email and is a regular customer what can RR do

forward request to member firms operation dept.

Securities Investor Protection Corporation is a

non-profit membership corporation, composed of all broker-dealers registered under the Securities Exchange Act of 1934