FINRA Compliance Options Communications Rules (Interactive)

Options Communications Rules (Interactive)

30.00 30.00

  • Course Delivery: On Demand
  • Duration: 2 


This course will discuss the regulation of options communications by securities broker-dealers. For presentation purposes, it is divided into two lessons:
Lesson 1 - Basic Options Terms and the Options Disclosure Document
Lesson 2 - Options Communications Rules


Course Objectives

After completing this course, you should be able to:
- Define an "option."
- Discuss the basic terms applicable to standardized exchange-traded options.
- Identify the principal option types (put and call, equity and index options, etc.).
- Discuss the role and contents of the Options Disclosure Document.
- Discuss the regulation of options communications under FINRA Rule 2220, including:

  • The approval, filing, recordkeeping and supervisory requirements applicable to options communications, and
  • The substantive content requirements applicable to options communications.

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