Series 24: 2.4.2. Risk Assessment Of Securities Products

Taken from our Series 24 Online Guide

2.4.2. Risk Assessment of Securities Products

Certain investments are subject to stricter suitability requirements because of their complexity or lack of liquidity. Some examples are listed in the following sections.

FINRA has recommended that complex derivative products such as collateralized mortgage obligations (CMOs) and credit default swaps be guided by the approa

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