Communications Compliance: Current Developments

Accreditation Wreath Icon AL
SKU: SEC014
All Courses Available iOS/Android Web

All Courses Available iOS/Android Web

About This Course

Designed to address current communications compliance and marketing practices, this informative CLE course will offer guidance on how FINRA’s communication rules are applicable in virtual environments, particularly regarding ESG and other investment trends.

The course will explain the regulatory implications of complex products and services including crypto assets and emerging technologies with regards to marketing compliance. The course will address revisions made to FINRA Rules 2210 which relate to Communications with the Public as well as communications which concern digital assets and transactions accounts that have come to the attention of the Advertising Regulation Staff.

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