Series 24 podcast · Episode 11
Communications with the Public
42 min of listening
Customer-Related Activities. Free audio, ready to play in your browser.
Pair listening with reading
Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- The Three Communication Categories
- Principal Approval and Supervisory Review
- Filing With FINRA Advertising Regulation
- Content Standards for Communications
- Specialized Communication Requirements
- Investment Company Communications
- Telemarketing
- Tape-Recording of Registered Persons
- Communications Recordkeeping
- Payments Influencing Market Price
Put this episode into practice with adaptive questions and flashcards in the full Series 24 course.