Series 7: Exercise

Taken from our Series 7 Online Guide

Exercise

Answer true or false.

For a firm with proper telemarketing procedures in place, the following associated person has violated federal law and/or FINRA’s telemarketing policy:

1. _____ Called a potential customer in New York from California at 7:00 p.m. PT.

2. _____ Called a customer with an established business relationship that is on the Federal Trade Commissi

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The vocabulary on the test was slightly different, (they used the word tendered a lot) and so navigating the different financial vocabulary was a minor challenge. That being said, I felt comfortable in my knowledge and was able to break down and understand a large majority of the exam because of Solomon Exam Prep. I passed and felt confident!
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