General Brokerage and Supervision

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About This Course

This CLE program will address advertising sales practice issues applicable to general brokerage firms and their registered representatives.

FINRA staff and industry practitioners will discuss advertising compliance and sales practice issues applicable to general brokerage firms and their registered representatives. Industry panelists explore advertising compliance challenges and explain how they address the advertising rules with respect to the creation and preparation of marketing materials, supervision, dually registered representatives, and seminar and radio shows. This panel also covers current areas of interest such as private placements and consolidated reports.

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