Series 6: Exercise

Taken from our Series 6 Online Guide

Exercise

Fill in the blanks using the appropriate term from the list (not all words will be used).

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Solomon Exam Prep Study Materials for the Series 6
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Terms

Questions

Recommendation

Interactive content

Retail

Disclosure

Correspondence

Static content

Institutional

Disclaimer

Service

1. _____ requires approval prior to being posted and is considered _____ communication.

2. A written communication that is distributed to 20 non-institutional customers within a 30-day calendar period is considered _____.

3. Testimonials within retail communications and correspondences regarding investment advice or performance must provide a _____, an example of which would be, “The