FINRA: Electronic Communications: What Retail Staff Need to Know

Course Description

This course helps retail registered representatives understand the requirements applicable to all communications with the public and shows how regulatory standards apply to social media and other electronic communications.

Learning Objective(s)

By taking this course, you will be able to:

  • Explain what constitutes communications with the public.
  • Recognize content standards for communications with the public.
  • Identify the various forms of electronic communications.
  • Explain why electronic communications must adhere to the same content standards as written communications.

Complexity

Intermediate

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