FINRA: Fixed Income Suitability: Retail Sales Practices
Overview
This course reviews fixed income product characteristics and risk factors, and illustrates the unique suitability considerations and regulatory subtleties associated with the sale of these securities.
Find this course for your license
License or Certification
Regulator
Type
Learning Objectives
- explain what fixed income products are and name different types.
- describe the characteristics and risk factors of fixed income products.
- recognize the unique suitability considerations and regulatory requirements associated with the sale of fixed income products.
Designed For:
Retail Representatives
Course Information
Adding additional credit may change exam requirements.
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S1-32 - Framework