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Printer-Friendly Suitability Issues: An Institutional Focus (VLC012)

This e-learning course explains procedures a registered representative should follow when determining the suitability of a recommendation made to an institutional customer. This program provides an overview of NASD's rule on Recommendations to Customers (Suitability), defines an "institutional" customer, and presents a brief scenario that demonstrates the process for determining suitability when working with institutional customers.

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  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.
  
  

• Individual Library Subscription

  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.
  
  

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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

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Required Software

Accessing the webcast requires Macromedia Flash 8.0 or higher.

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Required Hardware

Your computer must have a sound card and speakers (internal or external).

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