Series 82 podcast · Episode 15
Best Interest and Suitability
1h 7m of listening
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the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Which Standard Applies to a Recommendation
- Regulation Best Interest's Four Obligations
- Suitability's Three Obligations
- Equity and Debt Instruments as Product Options
- Portfolio Composition, Diversification, and Concentration
- The Risk-Averse and Speculative Mix
- Concentrated and Speculative Portfolios
- The Member Private Offering Rule
- Fair Pricing and Anti-Intimidation Standards
Put this episode into practice with adaptive questions and flashcards in the full Series 82 course.