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.
At the end of this course, the student will be able to:
- Identify the basic SEC and FINRA rules.
- Apply these rules to communications with the public.
- Describe electronic communication regulations.
- Differentiate between ethical and non-ethical marketing and sales techniques of variable security products.
End of Course Instructions
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