Compliance Priorities - Communications and Sales


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