Investment Adviser: Suitability Rules

Overview

This course discusses an investment adviser’s duty to provide investment advice to their clients that is suitable given each client’s financial situation, investment experience, and investment objectives. 

Learning Objectives

Students who successfully complete this course will be able to:

  • understand suitability rules
  • apply suitability rules to advice provided to your clients
  • understand the consequences of failure to follow the suitability rules

Designed for

Investment Advisory

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