FINRA Webcast

Suitability Issues: An Institutional Focus

This webcast explains procedures a registered representative should follow when determining the suitability of a recommendation made to an institutional customer. This webcast, which is just over 10 minutes in length, 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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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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