Product: Institutional Communication and Advertising
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Institutional Communication and Advertising

Description

This course covers regulations imposed on advertising and sales literature to ensure all communications with the public adhere to industry guidelines.



   There are no regulatory requirements listed for this course
Course Objectives

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.

End of Course Instructions

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Course Outline

This course covers the following topics:
Lesson 1: Basic Concepts
Lesson 2: Legal Considerations
Lesson 3: The Regulatory Environment

Course Pre-Requisite

n/a

Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.

Exams

You will be required to pass the final exam with a 70% in order to receive course credit.

Duration
2 hrs

Course Details:

  • Course Format: Online online
Price: $30.00
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