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

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.

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