FINRA: Communications with the Public: Compliance Issues for Wholesalers

Overview

This course is designed to help wholesalers understand their compliance responsibilities. It covers the consequences of noncompliance with requirements for communications with the public.

Learning Objectives

Students who successfully complete this course will be able to:

  • explain what constitutes communication with the public
  • identify content standards for communications with the public
  • recognize FINRA review requirements

Designed for

Wholesalers

Find Courses Now