About This Course
This CLE course will address the issues of content violations, disclosure and performance standards of SEC Rules. The course will also explain the current standards for variable insurance product communications, and offer expert guidance as they relate to options communications, rankings presentations, and the fundamental concepts of digital communications such as social media.
The course will ensure you understand how to comply with FINRA Rule 2210’s content standards and can apply the SEC Rules in investment company communications. The course will explain applicable standards to insurance products and offer a do’s and don’ts to help you avoid pitfalls and mitigate risks.
