FINRA Communication Standards
Learn how to follow FINRA communication regulations as a registered representative, including illustrations, disclosures, and more.
Includes: Certificate of Completion
Duration: 2 Hour(s) | Language: English
Leading business solution for your company's regulatory training. Learn more.
About this Course
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.
BUY IN BULK ACROSS THE ENTIRE COURSE CATALOG
360training's extensive course catalog includes over 6,000 courses in a variety of different industries. Browse our complete course catalog, select all the courses you need, and calculate your savings.
Buying for a Team or Group?
Interested in bulk discounts and flexible billing options on our expansive library of HR, Ethics and Compliance courses? Connect with our Corporate Sales Executives today!
Upgrade your LMS to Include Manager-Level Access
- Assign Courses
- Tracking Employee Progress
- Maintain and Organize Records
Have a question or need help? Click here to start a chat with our support team.
Start a live chat
Call us 877-881-2235