Alternative Investments and Current Issues

SKU: FIN2100

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About This Course

This CLE program discusses rules governing alternative investments, REITs and private placements. This session emphasizes the importance of understanding product features, characteristics and possible risks for purposes of suitability determinations. This program will also provide guidance on steps firms can take to comply with their due diligence and supervisory obligations. Panelists discuss the features of popular and new forms of complex products and their role in portfolio diversification.

After attending this session, you will be able to:

  • Understand the latest regulatory developments related to alternative investments.
  • Explain FINRA’s Private Placement rules.
  • Discuss due diligence requirements and industry practices when recommending private placement and REIT securities.
  • Review effective practices when vetting complex products.

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