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.
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
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