Advertising Regulations, Requirements, and Standards

Overview

This course examines FINRA's advertising regulations and guidance surrounding a variety of types of advertising and other communication. The course discusses the FINRA advertising regulations, requirements, standards, and disclosures that every registered representative must be aware of in communicating with, and advertising to, the public.

Learning Objectives

Students who successfully complete this course will be able to:

  • define a retail communication
  • describe the member review and approval requirements applicable to retail communications
  • identify the FINRA recordkeeping requirements applicable to retail communications
  • recognize the retail communication filing requirements
  • describe the retail communication content standards imposed under FINRA Rule 2210

Designed for

Retail

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