Misleading Communications: Advisor Ranking Contests

Project Details:

In this webcast, David Wright, Senior Counsel, Business Conduct Compliance, and Jeffrey Yewer, Senior Manager, Business Conduct Compliance, will discuss advisor ranking contests in a conversation moderated by Iris Titov, Member Education Consultant. The discussion provides an overview of the rules and requirements relating to advisor ranking contests and the misleading communications that may arise from advisor participation in such contests.

Program Details

Register for the webcast
Continuing Education Credit:
Investment Dealer CE Credit: Compliance: 0.25; Mutual Fund Dealer CE Credit: Does not qualify for MFD CE credits
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