CFP CE

FINRA: Communications with the Public: What Retail Staff Need to Know

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.

Summary Details

Hours

0.5

Price

$18.00

Ratings Pending   (0 Ratings)






Learning Objectives

  • explain what constitutes communications with the public.
  • identify content standards for communications with the public.
  • recognize FINRA review requirements.


Designed For:

Registered Representatives 



Course Information

Adding additional credit may change exam requirements.

Access Period: 12 months
Prerequisites: None
Delivery Method: Self-Study
PDF Download: Not Available
Provider of Record: FINRA
Provider Number: Approved
Last Reviewed: October 2024
Study Level: Intermediate
Approved For: Firm Element

Exam

Proctor: No