Compliance Priorities, Volume 3: Communications and Sales

Overview

In its 2026 Regulatory Oversight Report, FINRA provides firms with information they may need to include in their compliance programs. This course highlights the rules and obligations required within the extensive categories of communications and sales. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Learning Objectives

  • Deficiencies found in communications with the public, and how to improve them
  • Deficiencies found in applying Regulation Best Interest (BI) and Form CRS, and how to correct them
  • Deficiencies found in private placements of securities
  • Deficiencies found in annuities securities products, and how to correct them


Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.