FINRA: Communications with the Public: What Retail Staff Need to Know

Overview

This course covers situations retail registered representatives face when communicating with clients, and the consequences of non-compliance with requirements for approval, disclosure and retention of communications with the public.

Find this course for your license

License or Certification

Regulator

Objectives

explain what constitutes communications with the public.
identify content standards for communications with the public.
recognize FINRA review requirements.

Designed For:

Registered Representatives

Course Information

Adding additional credit may change exam requirements.

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