General Brokerage and Supervision

Accreditation Wreath Icon AL
SKU: FR3400
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

In this instructive CLE course, FINRA staff and industry practitioners will review advertising compliance and sales practice as applicable to general brokerage firms as well as their registered representatives. Advertising compliance challenges and methodologies for addressing advertising rules as they relate to creating marketing materials, supervisions, dual registered representatives, radio shows and seminars will be addressed as well as issues such as private placements and consolidated reports.

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