Communications With the Public: Institutional Focus
Overview
This course provides a review of the Communications with the Public rules and how they impact the day-to-day business of a registered representative. The course includes examples of each type of communication as detailed by FINRA.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- understand the rules surrounding communications with institutional investors
- identify recordkeeping obligations for institutional investor communications
- understand the supervisory rules associated with institutional investor communications
Designed For:
Institutional registered representatives
Course Information
Adding additional credit may change exam requirements.
At WebCE, we are passionate about delivering exceptional professional development solutions. With world-class customer support and education to serve multiple professions, we're here to help professionals reach their career goals.
Information
Copyright ©1992-2026 WebCE®. All Rights Reserved.
S1-32 - Framework