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An Overview of Complex Products

Overview

This course explores complex financial products like structured notes, inverse/leveraged ETFs, hedge funds, and asset-backed securities. It covers their unique features, qualifications as complex products, and associated risks.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 

Learning Objectives

  • understand some of the identifying features of a complex product
  • understand your suitability obligations with regard to complex products
  • understand your training obligations with regard to complex products
  • understand your supervision obligations with regard to complex products


Designed For:

Retail registered representatives and other finance professionals




Course Information

Adding additional credit may change exam requirements.

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