Firm Element Communication with the Public - Supervisor

Communication with the Public - Supervisor

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1 

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This course is intended to provide guidance to broker/dealer-compliance and supervisory personnel in understanding regulatory rules and issues generally related to communication with the public and more specifically electronic communication.

Course Objectives

Upon completion of the course, the student will be able to: Learn Basic SEC and FINRA RulesUnderstand Select Electronic Communication Regulations Acquaint with Issues for Advertising and Sales Literature about Variable Contracts

Topics Covered

This course covers the following topics: Lesson 1: The Estate Planning Process And Documents Of Transfer Lesson 2: Unified Transfer Tax System And Generation Skipping Transfer Tax (GSTT) Lesson 3: Trusts Lesson 4: Marital Deduction Planning Lesson 5: Charitable Deduction Planning Lesson 6: Intra-Family Business And Property Transfers Lesson 7: Post-Mortem Estate Planning



Subject Matter Expert

This course is created and brought to you by, Inc, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. high quality e-learning courses assist thousands of working professionals each month in a wide range of disciplines to succeed in today's marketplace, renew licenses, acquire certification or prepare for a new profession.

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.

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