FINRA Compliance Advertising - Financial Professionals (Interactive)

Advertising - Financial Professionals (Interactive)

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2 


This course introduces the concept of advertising, including the various forms of advertising, the products being advertised, and the regulations and rules in place to ensure that advertisements do not threaten or harm the public.


Course Objectives

At the conclusion of this course, you will be able to:
- Define Advertising, Sales Literature, and Correspondence.
- Identify examples of advertising and examples of sales literature.
- Discuss the use of misleading statements.
- Discuss FINRA filing requirements.
- Discuss specific advertising rules and regulations, including SEC Rules 137, 138, and 139.
- Discuss advertising in the primary and secondary advertising markets.
- Compare and contrast the primary and secondary advertising markets.
- Identify and discuss popular investment products/accounts, such as IRAs, Mutual Funds, and Variable Annuities.





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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