FINRA: Regulatory Considerations for New Products (EL-ELC278)

Overview

This course covers the review process that vets a new product for regulatory concerns per FINRA guidelines. As the learner explores the vetting process, they are reminded that registered persons are only permitted to sell products that the firm with which they are associated offers. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • Definition of a new product
  • Vetting procedures guidelines
  • Internal product review
  • Formal approval
  • Understanding of why it is imperative to only sell approved firm products
  • Resources for additional considerations for specific products

Designed For:

Registered Representatives 




Course Information

Adding additional credit may change exam requirements.

Prerequisites:
N/A