FINRA Webcast

Suitability Issues: Considerations for Product Exchanges

This webcast emphasizes the importance of establishing suitability when a registered representative recommends that a client exchange products. At just over eight minutes in length, the program presents rule requirements and best practices, and then reinforces them with a scenario.

 

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This webcast is also available as a SCORM compliant e-learning video course with optional assessment testing, completion tracking and certificates of completion.

Related Resources:

NASD Rule 2310 - Recommendations to Customers (Suitability)

NASD IM-2310-3 - Suitability Obligations to Institutional Customers

 

NASD Rule 3110 - Books and Records

 

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For firms that use FINRA webcasts for training purposes, please be aware that FINRA now offers webcast tracking through the Report Center.

 

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Important Viewing Notes:

Access
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Required Software
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Required Hardware
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