Know Your Customer and Suitability and Best Interest Requirements

Overview

Suitable recommendations to investors have always required that registered representatives “know their customers.” In today’s financial world, it is equally important to know your customer and know your products to meet suitability and best interest requirements. This course provides an overview of the requirements that every registered representative know their customer and that all products, services, recommendations, and strategies are suitable for the client. 

Find this course for your license


License or Certification 

 

Regulator 

 

Type 

 


Objectives

  • an understanding of the know your customer rules
  • an understanding of suitability rules
  • and understanding of Regulation Best Interest
  • an understanding of the supervisory controls required to monitor compliance with these rules

Designed For:

Retail representatives and principals




Course Information

Adding additional credit may change exam requirements.