Investment Adviser: Suitability Rules

Overview

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.

Find this course for your license

License or Certification

Regulator

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

Course Information

Adding additional credit may change exam requirements.

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