Suitability & Investment Profiles Explained for the SIE Exam Prep (Lesson 17)!
Автор: Business with Mr. G
Загружено: 2026-02-19
Просмотров: 5
Описание:
Welcome to Lesson 17 of the Securities Industry Essentials (SIE) Masterclass.
In this lesson, we break down customer information and investment profiles — a foundational suitability section of the FINRA SIE exam.
You will learn:
• What information must be collected from customers
• Age and time horizon considerations
• Income, net worth and financial capacity
• Risk tolerance vs risk capacity
• Liquidity needs
• Tax status and suitability
• Investment objectives (growth, income, preservation)
• Reasonable basis suitability
• Customer-specific suitability
• Quantitative suitability (churning risk)
• Unsolicited vs recommended transactions
The SIE frequently tests:
• Which factor is most important in suitability analysis
• Why illiquid investments may be unsuitable
• Why municipal bonds may suit high-income investors
• How excessive trading becomes a violation
• What makes a recommendation unsuitable
This lesson reinforces the regulator mindset — focusing on aligning product risk with customer profile and financial capacity.
Suitability is not about performance prediction.
It is about structured, defensible recommendations.
Follow the full SIE Masterclass playlist for disciplined, exam-first preparation.
Повторяем попытку...
Доступные форматы для скачивания:
Скачать видео
-
Информация по загрузке:
