Investment Adviser: Suitability Rules


This course discusses an investment adviser’s duty to provide investment advice to their clients that is suitable given each client’s financial situation, investment experience, and investment objectives. Please note this course does not meet the requirements of the NASAA IAR CE Model Rule that has been adopted by multiple states. This course does meet Firm Element requirements. 

Learning Objectives

Students who successfully complete this course will be able to:

  • understand suitability rules
  • apply suitability rules to advice provided to your clients
  • understand the consequences of failure to follow the suitability rules

Designed For

Investment Advisory

Find this course for your license:

License or Certification