Off-Channel Communications


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. 

Learning Objectives

Upon completion of this course, you should understand:

  • Communications generally
  • The different categories of off-channel communications
  • The risks associated with use of off-channel communications
  • The rules and regulations surrounding communications, including off-channel communications
  • Best practices when using off-channel communications 

Designed For

Registered Representatives and Investment Adviser Representatives 

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License or Certification