FINRA Webcast
FINRA is concerned about the number of increasingly complex products that are being introduced to the market in response to the demand for higher returns or yield. As a complement to NASD Notice to Members 05-26, this webcast discusses suitability in general as well as particular suitability concerns relating to the sale of new products. The program covers the considerations a representative should assess before recommending a new product to a customer.
View Webcast
Related Resources:
Best Practices for New Products: Notice to Members 05-26
Non-Conventional Investments: Notice to Members 03-71
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.
|
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 7.0 or higher.
Download Macromedia FlashPlayer
Required Hardware Your computer must have a sound card and speakers (internal or external) in order to hear the webcast. |
