FINRA Compliance Communication with the Public - Supervisory Level (Interactive)

Communication with the Public - Supervisory Level (Interactive)

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2

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This course is intended to provide guidance to broker/dealer-compliance and supervisory personnel in understanding regulatory rules and issues generally related to communication with the public and more specifically electronic communication.


Course Objectives

At the end of this course, the student will be able to:
- Identify the basic SEC and FINRA rules.
- Apply these rules to communications with the public.
- Describe electronic communication regulations.
- Differentiate between ethical and non-ethical marketing and sales techniques of variable security products.





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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