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.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- understand compliance obligations regarding communications with the public
- understand compliance obligations regarding sales of deferred variable annuities
Designed For:
Registered Representatives
Course Information
Adding additional credit may change exam requirements.
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S1-32 - Framework