FINRA: Communications with the Public: Compliance Issues for Independent Registered Representatives

Overview

This course helps independent registered representatives understand their compliance responsibilities when communicating with clients. It covers the consequences of non compliance with requirements for communicating 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 
Find Courses Now