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. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


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.