Considerations When Selling Alternative Investments

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About This Course

This program will provide guidance on alternative investment products and complex products. FINRA staff members and industry practitioners discuss private placements, structured products as well as other alternative investments, with a focus on systems and controls to mitigate the risk of unsuitable products being sold to customers.

After attending this session, you will be able to:

  • Understand trends and developments with complex products and alternative investments;
  • Summarize industry and regulatory perspectives from FINRA and the U.S. Securities and Exchange Commission (SEC) regarding complex products and alternative investments;
  • Describe key considerations for suitability;
  • Understand how to avoid issues with processing alternative investment transactions; and
  • Demonstrate how to handle follow up inquiries about alternative investment transactions.

FINRA® is a registered trademark of the Financial Industry Regulatory Authority, Inc.

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