Communications Compliance: Current Developments


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About This Course

This CLE program will discuss current communications compliance and marketing practices. Topics include recent guidance on how FINRA’s communications rules apply in a virtual environment, and how firms can communicate compliantly about ESG and other current investment trends.

Panelists will also talk about the regulatory implications of complex products and services such as crypto assets and emerging technologies in the marketing compliance space.

After attending this session, you will be able to:

  • Discuss revisions made to FINRA Rules 2210 (Communications With the Public)
  • Focus on issues the Advertising Regulation staff has seen regarding firm communications concerning digital assets and transaction accounts

Lecturers for this Course

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