Firm Element Institutional Suitability

Institutional Suitability

25.00 25.00

  • Course Delivery: On Demand
  • Duration: 1

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This course focuses on the importance of suitability regarding institutional customers by concentrating on compliance and regulatory requirements governing Members in these areas. The expectations put forth under FINRA Rule 2310 are examined alongside the Association's interpretation in IM-2310-3. This course discusses Members' suitability obligations for 'reasonable basis' and 'customer-specific' transactions, methods to assess a customer's ability to independently evaluate risk and a Member's recommendation, and the Member's responsibility if it is determined that the customer is 'non-independent.'

Topics Covered

This course covers the following topics: Lesson 1: The Valuation Process Lesson 2: Post Merger Integration Lesson 3: Anti-Takeover Defenses



End of Course Instructions

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Quiz Information

You will not be required to pass the quizzes to move on to the next lesson.


You will be required to pass the final exam with a 70% in order to receive course credit.

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