IAR CE

Off-Channel Communications

Overview

Off-channel communications are communications that take place outside of ordinary or official communication channels. When used and managed correctly, they can be very beneficial. When they aren't managed correctly, violation of supervision and recordkeeping rules and regulations surrounding such communications can occur. This course will discuss communications in general, the different categories of off-channel communications, the rules and regulations governing their use, and real-world examples of failure to comply. 

Summary Details

Hours

0.5

Price

$20.00







Learning Objectives

  • Explain general communication principles
  • Identify different categories of off-channel communications
  • Assess the risks associated with off-channel communications
  • Understand the rules and regulations governing communications, including off-channel communications
  • Apply best practices when using off-channel communications


Designed For:

Registered Representatives and Investment Adviser Representatives 



Course Information

Adding additional credit may change exam requirements.

Access Period: 12 months
Prerequisites: None
Delivery Method: Self-Study
PDF Download: Not Available
Course Approval Number: C26575
Provider of Record: WebCE
Provider Number: 90082
Last Reviewed: November 2023
Study Level: Intermediate
Approved For: Products and Practices

Exam

Proctor: No
Passing Grade: 70
Questions: 5



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