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.

Prerequisites:
None