FRC Compliance Quiz
FRC Compliance Knowledge Quiz
Test your understanding of FRC compliance regulations with our engaging quiz! This quiz covers essential knowledge about disclosure requirements, promotional practices, and what it means to operate in compliance. Are you ready to find out how well you know the rules?
- 11 Comprehensive Questions
- Multiple Choice and Checkbox Format
- Assess Your Knowledge About Regulatory Practices
How can we ensure we are onside with regulators?
Full disclosure of conflicts
Not being highly promotional
Not giving investment advice to an individual
All the above
Which of the following must be disclosed?
We own stock in a company mentioned
We were paid to cover a company mentioned
Disclaimer on past performance when performance is mentioned
All of the above
Which of the following would be a violation?
Promising a return
Issuing research to a broad audience
Posting on social media
Suggesting someone talk to their advisor for tailored advice
Which of the following statements would be too promotional?
ABC Corp's Sales increase 15%
ABC Corp Enters New Market
ABC Corp is Making Huge Breakthroughs and the stock will Double this year
ABC Corp is Cash Flow Positive
Which title would probably run into regulatory issues?
Read our latest report on ABC and see why our analyst's believe it will benefit from higher oil prices
Invest in ABC because Higher Oil prices will send the stock higher
See what our analysts have to say about ABC and higher oil prices
See why higher oil prices should benefit ABC
What should be included in all our videos (check all that apply)
Disclosure when we own stock
Disclosure that we have been paid by any company mentioned
Disclaimer of performance mentioned
Disclose that the CEO lives in Toronto
Which statement is inappropriate?
Invest now and become a millionaire
This stock is going to be highly lucrative
ABC Corp is going to the moon on huge new technology
All of the above
What can happen if we are not in compliance? (check all that apply)
Fine
Ban from operating
Forced to run 100 meters
Nothing
Who should we always remember to have their best interest in mind in everything we do?
Regulators
The CEOs of covered companies
Investors
The Government
Disclosure is required on which platforms?
Video
Twitter
Facebook
Reports
All of the above and anywhere we talk about stocks
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