Series 14: 9.1.5.3. Public Appearances

Taken from our Series 14 Online Guide

9.1.5.3. Public Appearances

While live sales presentations are clearly communications, they do not fall into one of FINRA’s three communication categories (correspondence, retail communications, and institutional communications). Instead, FINRA classifies unscripted public speaking about securities as public appearances. Examples of public appearances include participating in a seminar or forum (including online forums), being interviewed on the radio or television, or any other public speaking activity about securities.

Public appearances must be fair and balanced, and cannot contain misleading information.

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