FINRA: Fixed Income Suitability: Retail Sales Practices

Course Description

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.

Learning Objective(s)

This course aims to help you:

  • 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.

Complexity

Intermediate

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