Recently issued Field Notice 2020-06 outlined requirements for Registered Representatives (“RRs”) and Investment Adviser Representatives (“IARs”) to utilize WebEx or Zoom when conducting group seminars and/or public speaking events with the general public (including educational and recruiting events). ESI is pleased to provide additional guidance to help with your use of these tools.
CLICK HERE TO REVIEW FIELD NOTICE 2020-16
TC115060(0620)1