Seminars, Lectures, and Group Forum Requirements
Chapters in this video
- 0:00 The seminar split: two events at once
- 0:48 Public appearance pre-approval: why no is the answer
- 2:05 The 25-retail-investor threshold and the correspondence flip
- 3:51 Retail communication approval and FINRA filing
- 3:59 Three mandatory supervisory procedure elements
- 5:01 Q&A reasonable basis and disclosure duties
- 6:17 Rapid-fire exam recap
What this video covers
- Why the same seminar produces two simultaneous communications with two separate rule sets, and how to classify the spoken portion versus any handouts or slides
- How the greater-than-25 retail investor threshold within a 30-day window transforms written materials from correspondence into a retail communication requiring principal pre-approval
- What the three mandatory elements of public appearance supervisory procedures are: education and training, documentation, and surveillance and follow-up
- Why surveillance and follow-up is strictly required and not satisfied by training alone, a classic Series 7 partial-truth trap
- When written materials at seminars must be filed with the Financial Industry Regulatory Authority (FINRA) in addition to principal approval
- Why a reasonable basis for any security recommendation is absolute, with no nominal exception, while disclosure of a financial interest may have a nominal exception
- How exam writers bait you into applying spoken-word rules to PowerPoint slides, and the mental split that prevents the mistake
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