Communications with the Public


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


Find this course for your license:

License or Certification