SIE Overview of the Regulatory Framework Practice Question 11

Correct Answer: B

Explanation:

B: Choice B is correct because a non-registered person may inquire as to a person's interest in meeting with a registered person from the firm to review investments. Choices A and C are incorrect because only a registered person is allowed to discuss these topics with a member of the public. Choice D is incorrect because a person who has passed a FINRA registration exam would be a registered person.