Overview
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 Objectives
Upon completion of this course, students 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
Designed For
All registered representatives and registered principals