FINRA: Communications with the Public: Compliance Issues for Wholesalers


This course is designed to help wholesalers understand their compliance responsibilities. It covers the consequences of noncompliance with requirements for communications with the public.

Learning Objectives

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

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

Designed For


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