FINRA: Communications with the Public: Compliance Issues for Independent Registered Representatives

Course Description

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.

Learning Objective(s)

By taking this course, you will be able to:

  • Explain what constitutes communications with the public.
  • Identify content standards for communications with the public.
  • Recognize FINRA review requirements.

Complexity

Intermediate