Sales Practices


This course reviews sales practices FINRA focuses on when conducting examinations including dealings with clients and making recommendations regarding moving defined contribution retirement assets from an employer-sponsored plan to other investments.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand interest rate sensitive fixed income securities
  • understand variable annuities
  • understand alternative mutual funds
  • understand non-traded real estate investment trusts
  • understand exchange-traded products
  • understand structured retail products
  • understand floating rate bank loan funds
  • understand securities-backed lines of credit

Designed for


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