3.2 Suitability Obligations

In this section

• Know Your Customer (KYC) Rule in Securities Exams
  Master the Know Your Customer (KYC) Rule for the Series 6 Exam. Understand the importance of obtaining and updating essential customer information to ensure compliance with FINRA Rule 2090.
• Reasonable-Basis Suitability: Understanding FINRA Rule 2111 for Series 6 Exam Success
  Master the concept of Reasonable-Basis Suitability under FINRA Rule 2111 for the Series 6 Exam. Learn about the importance of due diligence, understanding investment products, and ensuring recommendations are suitable for investors.
• Customer-Specific Suitability in Securities Recommendations
  Explore the intricacies of customer-specific suitability in securities recommendations, focusing on aligning investment advice with individual client profiles. Learn about the factors influencing suitability, examples of unsuitable recommendations, and the importance of compliance with FINRA rules.
• Quantitative Suitability in Securities Trading: Ensuring Ethical Practices and Compliance
  Explore the essential principles of quantitative suitability in securities trading, focusing on ethical obligations, indicators of excessive trading, and regulatory compliance. This comprehensive guide is designed to help you understand and apply quantitative suitability standards in the securities industry.