Institutional Communication and Advertising

About Course

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

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.

Topics Covered

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

Prerequisites

n/a

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.

Exams

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