This course covers regulations imposed on advertising and sales literature to ensure all communications with the public adhere to industry guidelines.
Upon completing this course, you will be able to:
- Identify institutional investors.
- Identify types of communications subject to regulation.
- Describe regulations regarding communications to the public under FINRA Rules 2210 and 2211, particularly with respect to approvals and retention of records.
This course covers the following topics:
Lesson 1: Basic Concepts
Lesson 2: Legal Considerations
Lesson 3: The Regulatory Environment
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)
Got questions? Contact us below or call 877-881-2235
Why Choose 360training.com?
- Fast and easy courses completion
- Get an education faster than at traditional colleges!
- 100% online - No classroom attendance required.
- Unlimited 24x7 online customer support
- Over 500,000+ certified nationwide.