About This Course
This CLE program will discuss recent rule changes made in response to the FAIR Act, recent regulatory issues raised by communications about digital assets and customer transaction accounts, a summary of Regulation Best Interest, and advertising issues that Reg BI raises.
Topics Discussed:
- Discuss revisions made to FINRA Rules 2210 (Communications With the Public) and 2241 (Research Analyst and Research Reports) in response to the Fair Access to Investment Research Act of 2017 (FAIR Act).
- Focus on issues the Advertising Regulation staff has seen regarding firm communications concerning digital assets and transaction accounts.
- Understand more about Regulation Best Interest, and the advertising aspects that Reg BI raises.