FINRA Compliance Communication with the Public for the Registered Rep (Interactive)

Communication with the Public for the Registered Rep (Interactive)

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 1 

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This course is a discussion of the basic rules and standards that apply to all forms of communication with the public. The focus is on the registered representative and the everyday challenges they face in conducting business within the confines of strict regulatory parameters.


Course Objectives

At the conclusion of this course, the student will be able to:
- Describe the basics of communicating with the public.
- Apply the basics of communicating with the public to everyday practice.
- Paraphrase FINRA Rules 2210 and 2211.
- Summarize electronic communications.





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.

Got questions? Contact us below or call 877-881-2235

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