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Firm Element Understanding the Regulation of Electronic Communication

Understanding the Regulation of Electronic Communication

25.00 25.00
$25.00
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  • Course Delivery: On Demand
  • Duration: 1 

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Description

Innovations in the area of electronic communications over the last few decades have altered how people communicate with each other. These innovations have brought, and continue to bring, new challenges to FINRA members in the establishment of supervisory systems and procedures for electronic communications that are reasonably designed to achieve compliance with applicable federal securities laws and self regulatory organization (SRO) rules.
 

Topics Covered

This course covers the following topics: Content mandated on national core exam for Property and Casualty exam State Law regulations for students home state Questions on national and state law topics as shown in state outline
 

Prerequisites

n/a
 

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.
 

Exams

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

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