Communications with the Public
| Cost |
Members - $525 Non-Members - $750 |
|
| Duration | ½ Day | |
| Time | 8:30 am - 1:15 pm | |
| CRCP Credits | 3 | |
| CRCP CE Credits | 3 | |
| CPE Credits | 4 | |
| CPE Course Type | Overview | |
| Location | Date | Code |
| TBD | Available in 2010 | TBD |
| Venue | ||
| TBD | ||
Other Registration Options & Cancellation Policy
Tentative 2010 Course Agenda (PDF 39 KB)
FINRA Institute at Wharton Certified Regulatory and Compliance Professional™ (CRCP™) Candidates who enrolled in the program after January 2007 are required to complete this course in order to meet the Phase II CRCP requirement.
Course Description
This course covers FINRA and SEC standards that govern communications with the public, and provides guidance for compliance with rules and regulatory interpretations. Coursework includes practical exercises in evaluating advertisements and other communications.
After completing this course, you will be able to:
- Evaluate advertisements and other sales communications for compliance with FINRA rules governing communications with retail and institutional customers
- Describe and apply principal approval, filing and content requirements for different types of sales communications
- Understand supervisory obligations related to communications with the public
- Recognize the compliance challenges associated with electronic communications
Only FINRA’s Annual Conference is open to the media. All other FINRA conferences, pre-conferences, classroom learning, compliance boot camps and FINRA Institute at Wharton are closed to the media.
