Free Version

Review Topics
Practice Exams
I know there might be distractions in the testing facility (hellooooo bison cows), but try to keep your eyes on the prize.



“Let’s talk FINRA,” Homer suggested.

He sat across from Shmooge and began talking.

“So, there are two rules you should be familiar with when dealing with clients. The first is FINRA Rule 2090, Recommendations to Customers, and the second is FINRA Rule 2111, Suitability. You’ll see questions on the exam for both, so it’s worth your time to know this stuff.”

Rule 2090

“I think I already kind of know what Rule 2090 is,” Shmooge commented. “Doesn’t that have something to do with fiducia...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

Next: Client Assessment  
  Prev: Investment Risk

*Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.