FINRA: Suitability and Know Your Customer Obligations: FINRA Rules 2111 and 2090

Course Description

This course demonstrates the key requirements of FINRA’s suitability and know your customer rules, and specific obligations of firms and associate persons under those rules.

Learning Objective(s)

By taking this course, you will be able to:

  • Understand the requirements of FINRA's suitability rule, including considerations when evaluating whether an investment or investment strategy is suitable.
  • Understand the requirements of the know your customer rule.
  • Know the specific obligations of a firm and an associated person under the rules.

Complexity

Intermediate