Communications Rules and Regulations for the Wholesaler

Overview

As a wholesaler, you are expected to be familiar with FINRA rules surrounding your communications and advertising activities. This course discusses those rules, including any approval, review and recordkeeping requirements, filing requirements, and any standards prescribed.

Learning Objectives

Upon completion of this course, students should:

  • understand the definition of various types of communication 
  • understand what is and is not allowed when communicating with customers
  • understand your supervision, filing, recordkeeping, and other obligations when interacting with customers

Designed For

All registered representatives
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