Communications Compliance: Current Developments

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and Live Webinars!

Course Media Options

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

Spend less and get more

Get the courses that you need and the forms completed in days — not weeks or months.

Feature Ribbon Icon
CLE Manager on a headset

Dedicated CLE Manager

Quality help from a responsive CLE expert dedicated to assisting you.

Feature Ribbon Icon
A wall of media options

Riveting Content & an Exceptional Library

Experience outstanding presenters.

Feature Ribbon Icon
Customer viewing progress on a computer

Free Customized CLE Tracker

Keep crystal clear records of your courses and credits.

Feature Ribbon Icon
All of our media formats

Online, Audio CD, DVD, iOS/Android App, USB Stick, Live Webinars

Learn at your pace, in the format that you prefer.

Want Different Options?

For a custom suite of courses, our custom CLE option satisfies your CLE cycle requirements in one easy step.

Customize OptionsRight ArrowCustomize Options