FINRA: Fixed Income Suitability: Retail Sales Practices

Overview

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 Objectives

Upon completion of this course, students will be able to:

  • 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.

Designed For

Retail Representatives
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