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
Type
Learning 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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S1-32 - Framework