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
Upon completing this course, you should:
- understand compliance obligations regarding communications with the public
- understand compliance obligations regarding sales of deferred variable annuities
Designed For
This course is designed for Registered Representatives.
Find this course for your license:
License or Certification
Regulator
Type