FINRA: Electronic Communications: What Wholesalers Need to Know

Overview

This course helps wholesalers understand their compliance responsibilities with respect to electronic communications. It shows how regulatory standards apply to social media and other electronic communications.

Learning Objectives

Students who successfully complete this course 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

Designed for

Wholesalers

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