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.
Purchase Options
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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 $25 per course, per user.
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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 $90 per user.
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Group Purchases and Unlimited-Use Site Licenses
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.
