Suitability, Supervision and Surveillance

SKU: FIN4800

CLE Courses Available on DVDs, Audio CDs, USB Stick, Online & iOS/Android App and with Live Webinars!

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About This Course

This CLE program addresses key issues regarding compliance with the suitability rule. Panelists discuss key issues regarding compliance with the suitability rule. They provide practical advice on how firms and registered representatives can better understand customers and securities in order to comply with the suitability rule. They also discuss the intersection of suitability requirements with recent timely industry issues, such as senior customers, sales of complex products, IRA rollovers, concentration levels, online recommendations and share class considerations. Finally, panelists offer insights into FINRA examinations focused on suitability issues.

After attending this session, you will be able to:

  • Understand the main suitability obligations.
  • Compare and contrast how broker-dealers with different business models are complying with suitability requirements.
  • Enhance your compliance program based on recent examination experiences.
  • Understand significant suitability issues that may impact your firm going forward.
  • Discuss procedures and practices for complying with the rule.
  • Review case studies.

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