Series 7: Exercise

Taken from our Series 7 Top-off Online Guide

Exercise

Use the following list of words to fill in the blanks (not all words will be used).

Product

Interactive content

Retail

Disclosure

Investment

Correspondence

Static content

Institutional

Disclaimer

Service

  1. 1. _____ requires approval prior to being posted and is considered _____ communication.
  2. 2. _____ does not require prior approval unless it contains a recommendation for a specific _____.
  3. 3. Testimonials within retail communications and correspondences regarding investment advice or performance must pro

Since you're reading about Series 7: Exercise, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 7
Please Enable Javascript
to view this content!