Communications with the Public

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:

  • identify the types of communications as defined by FINRA
  • understand what is permitted in your communications
  • understand your supervision and recordkeeping obligations
  • understand what is prohibited in your communications

Designed for

Retail

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