SIE Overview of the Regulatory Framework Practice Question 2

Question: 2

Which of the following may only be done by a person registered with FINRA?

A. Inviting members of the public to a meeting for which the firm is responsible

B. Asking whether a member of the public is interested in reviewing possible investments with a registered person of the firm

C. Encouraging a person to buy or sell a security

D. Asking whether a member of the public is interested in receiving printed materials about investments