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

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.

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©2021 360training