FINRA Webcast

Customer Suitability Considerations

Not all products are suitable for all customers. This webcast explores suitability in general and how the determination of suitability of a particular product should be driven by the attributes of the particular customer. Specific situations are provided to highlight the facts presented.

 

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Related Resources:

NASD's "Suitability" Rule

 

SEC's Definition of "Accredited Investor"

 

NASD's Suitability Rule and Online Communications

View Other Available Webcasts


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:

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Required Software
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Required Hardware
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