Compliance Priorities - Communications and Sales

Overview

Each year, FINRA provides firms with the information they may need to include in their compliance programs. This course will provide an overview of the rules and obligations of firm operations that cover communications and sales.

Learning Objectives

  • understand compliance obligations regarding communications with the public
  • understand compliance obligations regarding sales of deferred variable annuities

Designed For

Registered Representatives

Find this course for your license:

License or Certification

Regulator

Type