FINRA Compliance FINRA Communication Standards

FINRA Communication Standards

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2

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A registered representative devotes many hours to prospecting for new customers and providing service for existing customers. This requires communication with the public, both oral and written. However, what do the various regulatory bodies require when it comes to this vital communication? This course details those requirements, explaining the rules of conduct and character expected from all registered representatives.


Course Objectives

Upon completion of this course, the student should be able to:
- Identify particular situations in which illustrations may be used
- Discuss the various disclosures that must be made when advertising or recommending a periodic payment plan
- List three items generic ads usually include
- Repeat the guidelines associated with written communication with the general public
- Describe four examples of misleading statements
- Explain the specific rules for product ranking and comparison





End of Course Instructions

Congratulations! You have successfully completed your online course; you may now print your certificate(s) online from your default login page (you may need to refresh this page)


Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.



You will be required to pass the final exam with a 70% in order to receive course credit.

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