Overview

This course provides a review of the Communications with the Public rules and how they impact the day-to-day business of a registered representative. The course includes examples of each type of communication as detailed by FINRA.

Learning Objectives

Students who successfully complete this course will be able to:

• understand the rules surrounding communications with institutional investors
• identify recordkeeping obligations for institutional investor communications
• understand the supervisory rules associated with institutional investor communications

Designed for

Institutional