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
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