Overview
This course covers situations retail registered representatives face when communicating with clients, and the consequences of non-compliance with requirements for approval, disclosure and retention of communications 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