Sales Practices

Overview

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.

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

Upon successful completion of this course, students 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:

Retail Representatives




Course Information

Adding additional credit may change exam requirements.