Question
A registered representative approaches you with a marketing idea. His friend operates a blog on investments. The registered representative wants to offer his friend a
A registered representative approaches you with a marketing idea. His friend operates a blog on investments. The registered representative wants to offer his friend a free round of golf if he would write a blog about a stock the representative is trying to promote. Your response, as principal, to this proposal:
Group of answer choices
A. Permitted as long as this is not a regular occurrence and the representative receives prior written approval from his principal
B. Permitted as long as the receipt of the compensation and the amount of compensation are disclosed in the blog
C. Permitted as long as the round of golf is less than $100
D. Not permitted in any form
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