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Printer-Friendly Communications with the Public

Cost	Members - $500 Non-Members - $700
Duration	½ Day
Time	8:30 am - 1:15 pm
CRCP Credits	3
CRCP CE Credits	3
CPE Credits	3.5
CPE Course Type	Overview
Location	Date	Code
New York, NY	November 19, 2008	CL1282 - Register Online Now
Venue
The Coleman Center 810 Seventh Avenue (between 52nd and 53rd Street) New York, NY 10019

Other Registration Options & Cancellation Policy

November Course Agenda (PDF 31 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 NASD Rules 2210 and 2211, which govern 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 with electronic communications

Only FINRA's Spring and Fall Securities Conferences are open to the media. All other FINRA conferences, pre-conferences, seminars, and other professional development courses are closed to the media.