FINRA: Communications with the Public: What Retail Staff Need to Know

Overview

This course covers situations retail registered representatives face when communicating with clients, and the consequences of non-compliance with requirements for approval, disclosure and retention of communications with the public.

Learning Objectives

Upon completion of this course, students will be able to:

  • explain what constitutes communications with the public.
  • identify content standards for communications with the public.
  • recognize FINRA review requirements.

Designed For

Registered Representatives 
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