Required disclosures: investment risk, costs and fees, and tax considerations

Free FINRA Series 6 (Investment Company and Variable Contracts Products Representative) lesson in Provides Customers with Information About Investments, Makes Recommendations, Transfers Assets and Maintains Appropriate Records. 17 min read, ~2,553 words.

Disclose a product's characteristics, risks, services, and expenses before recommending; the statement of additional information (SAI) is free on request and expands the prospectus. Control relationships and material events must be disclosed in writing before the transaction completes. Systematic risk (market, interest-rate, inflation) is undiversifiable; nonsystematic risk (company, industry) shrinks...

What this lesson covers

• Content
• Example 1
• Example 2
• Common Mistakes
• Check Your Understanding
• Exam Shortcuts

Learning objectives

• C9

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