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 this course for your license:
License or Certification
Regulator
Type