FINRA: Communications with the Public: What Retail Staff Need to Know

Course Description

This course covers situations retail registered representatives face when communicating with clients, and the consequences of non-compliance with requirements for approval, disclosure and retention of communications 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