Chapter 14: Providing Information and Disclosures to Customers

In this section

• Required Disclosures
  • Master Prospectuses & Offering Documents: Deliver with Precision
    Learn about delivering prospectuses and required disclosures effectively. Understand timing, content, and regulatory necessities in client relations.
  • Identify Risks, Fees, & Conflicts for Client Trust
    Learn to help investors by disclosing risks, fees, and conflicts of interest effectively.
• Communicating with Clients
  • Master Effective Communication: Key Skills for Investment Representatives
    Learn how to communicate complex financial concepts to clients effectively, ensuring transparency and trust in your investment advising practice.
  • Master the Art of Electronic Communications & Record-Keeping
    Explore compliance in electronic communications, including email and social media, and understand vital record retention practices.