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.

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

Retail Representatives