Compliance Priorities, Vol. 2 - Communications and Sales
Overview
FINRA provides firms with the information they may need to include each year in their compliance programs through its annual Regulatory and Oversight Report. This course highlights the rules and obligations outlined in the report concerning communications and sales.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
Communications with the public
Regulation Best Interest (BI) and Form CRS
Private Placements
Annuities Securities Products
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.