This e-learning course emphasizes the importance of establishing suitability when a registered representative recommends that a client exchange products. The program presents rule requirements and best practices, and then reinforces them with a scenario.
Purchase Options
Purchase this course at a FINRA-member rate of $12.50 per course, per user, or at a non-member rate of $20 per course, per user.
If you are considering purchasing three or more courses, a Library Subscription may be the most cost-effective option. The Library Subscription grants you access to FINRA's entire growing library of e-learning courses, including all newly released courses, for a period of one year from the date of the subscription purchase. The Library Subscription FINRA-member rate is $45 per user, and the non-member rate is $75 per user.
FINRA also offers Group Purchases and Unlimited-Use Site Licenses for two or more users.
Note: A user name and password will be emailed within 48 hours of receipt of payment.
Related Resources:
NASD Rule 2310 - Recommendations to Customers (Suitability)
NASD IM-2310-3 - Suitability Obligations to Institutional Customers
NASD Rule 3110 - Books and Records
Important Viewing Notes:
Access
Some firms have firewalls that are not configured to allow audio/video from the Internet. Please check with your IT department to resolve this issue.
Required Software
Accessing the webcast requires Macromedia Flash 8.0 or higher.
Download Macromedia FlashPlayer
Required Hardware
Your computer must have a sound card and speakers (internal or external).
For more information, please call (212) 858-4119 or send us an email.
