Helping Small Firms Navigate the Communications Rules

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About This Course

How do small firms stay in compliance with the communications with the public rules? FINRA staff and industry panelists answer audience questions and provide practical tips and helpful guidance as well as how FINRA can help small firms navigate the advertising rules.

By the end of this session, you will be able to:

  • Understand the challenges small firms face regarding advertising compliance;
  • Learn about ways to address and mitigate some of these challenges;
  • Know how to effectively work with FINRA’s Advertising Regulation Department when developing communications;
  • Learn about tips for successful advertising compliance.

*This course qualifies as a Transitional course and can be taken by both Experienced and Newly Admitted attorneys in NY.

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

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