Series 6 podcast · Episode 05
Customer Investment Profiles and Suitability
46 min of listening
Opening Accounts. Free audio, ready to play in your browser.
Pair listening with reading
Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- The Customer Investment Profile
- The Suitability Framework
- Hold Recommendations and Strategy Recommendations
- The Institutional-Customer Exemption
- Regulation Best Interest
- Form CRS
- Investment Analysis Tools
- Municipal Securities Suitability
- Putting It Together: Which Rule Applies?
Put this episode into practice with adaptive questions and flashcards in the full Series 6 course.