• FINRA Focus Areas: Communications, Reg BI and Complex Products

  • May 6 2024
  • Duración: 41 m
  • Podcast

FINRA Focus Areas: Communications, Reg BI and Complex Products Por arte de portada

FINRA Focus Areas: Communications, Reg BI and Complex Products

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  • Resumen

  • In today’s our experts discuss an area where FINRA spends a lot of resources – Communications and Sales. We’ll look at challenges our clients are facing and best practices when it comes to:

    · Communications with the Public and Advertising

    · Reg BI and its focus on the Care Obligation

    · Complex Products, from variable annuities to private placements


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