FINRA: Communications with the Public: Compliance Issues for Independent Registered Representatives
Overview
This course helps independent registered representatives understand their compliance responsibilities when communicating with clients. It covers the consequences of non compliance with requirements for communicating 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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S2-32 - Framework