{"id":3149,"date":"2014-02-11T06:26:56","date_gmt":"2014-02-11T14:26:56","guid":{"rendered":"http:\/\/staging-prblog.paladinregistry.com\/blog\/?p=3149"},"modified":"2014-02-10T15:27:46","modified_gmt":"2014-02-10T23:27:46","slug":"much-investment-knowledge-stock-broker","status":"publish","type":"post","link":"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/","title":{"rendered":"How Much Investment Knowledge should My Stock Broker have?"},"content":{"rendered":"

\"stock<\/a>Did you know that a brokerage firm has an ongoing duty to train its stock brokers <\/a>to understand the products they sell,\u00a0particularly complex products?<\/p>\n

FINRA requires that each member establish and maintain a system to supervise the activities of each broker that is designed to achieve compliance with applicable securities laws and regulations, and with applicable NASD Rules.<\/p>\n

FINRA has repeatedly advised member firms that their supervisory responsibility to provide training on investments is particularly acute with respect to complex investments. \u00a0\u00a0Specifically, FINRA has reminded member firms that education of brokers on complex products is \u201ccrucial.\u201d<\/p>\n

Training for all persons should emphasize that, due to the unique nature of products, many investors, especially retail investors, may not understand the features of the product, and may not fully appreciate the associated risks of investing<\/a> in them.\u00a0 Moreover, in light of the fact that investors may be turning to these products as an alternative to traditional equity and fixed income investments, it is crucial for registered persons to have a full and balanced understanding regarding both the risks and the rewards of these products.<\/p>\n

Keeping this in mind, your stock broker is expected to be able to answer any questions you may have about any particular investment product being presented to you.<\/p>\n","protected":false},"excerpt":{"rendered":"

Did you know that a brokerage firm has an ongoing duty to train its stock brokers to understand the products they sell,\u00a0particularly complex products? FINRA requires that each member establish and maintain a system to supervise the activities of each broker that is designed to achieve compliance with applicable securities laws and regulations, and with applicable NASD Rules. FINRA has repeatedly advised member firms that their supervisory responsibility to provide<\/p>\n","protected":false},"author":24,"featured_media":3154,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[395],"tags":[],"class_list":["post-3149","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-investing"],"yoast_head":"\nHow Much Investment Knowledge should My Stock Broker have?<\/title>\n<meta name=\"description\" content=\"Your stock broker is expected to be able to answer any questions you may have about any particular investment product being presented to you.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"How Much Investment Knowledge should My Stock Broker have?\" \/>\n<meta property=\"og:description\" content=\"Your stock broker is expected to be able to answer any questions you may have about any particular investment product being presented to you.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/\" \/>\n<meta property=\"og:site_name\" content=\"Paladin Registry Blog\" \/>\n<meta property=\"article:published_time\" content=\"2014-02-11T14:26:56+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2014-02-10T23:27:46+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2014\/02\/stock-broker-knowledge.jpg\" \/>\n\t<meta property=\"og:image:width\" content=\"600\" \/>\n\t<meta property=\"og:image:height\" content=\"399\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/jpeg\" \/>\n<meta name=\"author\" content=\"James Dunlap\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:creator\" content=\"@PaladinRegistry\" \/>\n<meta name=\"twitter:site\" content=\"@PaladinRegistry\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"James Dunlap\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"1 minute\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/\",\"url\":\"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/\",\"name\":\"How Much Investment Knowledge should My Stock Broker have?\",\"isPartOf\":{\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/#primaryimage\"},\"image\":{\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/#primaryimage\"},\"thumbnailUrl\":\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2014\/02\/stock-broker-knowledge.jpg\",\"datePublished\":\"2014-02-11T14:26:56+00:00\",\"dateModified\":\"2014-02-10T23:27:46+00:00\",\"author\":{\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/7c1c88a289518e68683e4470a9db8b51\"},\"description\":\"Your stock broker is expected to be able to answer any questions you may have about any particular investment product being presented to you.\",\"breadcrumb\":{\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/#breadcrumb\"},\"inLanguage\":\"en-US\",\"potentialAction\":[{\"@type\":\"ReadAction\",\"target\":[\"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/\"]}]},{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/#primaryimage\",\"url\":\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2014\/02\/stock-broker-knowledge.jpg\",\"contentUrl\":\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2014\/02\/stock-broker-knowledge.jpg\",\"width\":600,\"height\":399},{\"@type\":\"BreadcrumbList\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/#breadcrumb\",\"itemListElement\":[{\"@type\":\"ListItem\",\"position\":1,\"name\":\"Home\",\"item\":\"https:\/\/www.paladinregistry.com\/blog\/\"},{\"@type\":\"ListItem\",\"position\":2,\"name\":\"Investing\",\"item\":\"https:\/\/www.paladinregistry.com\/blog\/category\/investing\/\"},{\"@type\":\"ListItem\",\"position\":3,\"name\":\"How Much Investment Knowledge should My Stock Broker have?\"}]},{\"@type\":\"WebSite\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/#website\",\"url\":\"https:\/\/www.paladinregistry.com\/blog\/\",\"name\":\"Paladin Registry Blog\",\"description\":\"Helping You Make Better Financial Decisions\",\"potentialAction\":[{\"@type\":\"SearchAction\",\"target\":{\"@type\":\"EntryPoint\",\"urlTemplate\":\"https:\/\/www.paladinregistry.com\/blog\/?s={search_term_string}\"},\"query-input\":\"required name=search_term_string\"}],\"inLanguage\":\"en-US\"},{\"@type\":\"Person\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/7c1c88a289518e68683e4470a9db8b51\",\"name\":\"James Dunlap\",\"image\":{\"@type\":\"ImageObject\",\"inLanguage\":\"en-US\",\"@id\":\"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/image\/\",\"url\":\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/11\/small_James-Dunlap-Securities-Lawyer-96x96.jpg\",\"contentUrl\":\"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/11\/small_James-Dunlap-Securities-Lawyer-96x96.jpg\",\"caption\":\"James Dunlap\"},\"description\":\"James Dunlap completed an economics degree from Princeton University in 1984 and then he obtained a J.D., cum laude, from the University of Georgia School of Law in 1988. He has practiced law in Georgia and has been active in community and public affairs ever since. Mr. Dunlap has engaged in a varied general practice, which has included personal injury and negligence cases. He has represented individuals, partnerships and companies in a wide range of business related legal matters. His criminal practice has included representation of persons charged with criminal violations ranging from misdemeanor traffic offenses through serious felony offenses. Mr. Dunlap has extensive experience in jury trials of civil and criminal matters in State and Federal Courts. He is authorized to practice law in the State and Superior Courts of Georgia, the Georgia Courts of Appeals, the Georgia Supreme Court, the U.S. District Court for the Northern District of Georgia and the Eleventh U.S. Circuit Court of Appeals.\",\"sameAs\":[\"http:\/\/www.jamesdunlaplaw.com\"],\"url\":\"https:\/\/www.paladinregistry.com\/blog\/author\/james-dunlap\/\"}]}<\/script>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"How Much Investment Knowledge should My Stock Broker have?","description":"Your stock broker is expected to be able to answer any questions you may have about any particular investment product being presented to you.","robots":{"index":"index","follow":"follow","max-snippet":"max-snippet:-1","max-image-preview":"max-image-preview:large","max-video-preview":"max-video-preview:-1"},"canonical":"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/","og_locale":"en_US","og_type":"article","og_title":"How Much Investment Knowledge should My Stock Broker have?","og_description":"Your stock broker is expected to be able to answer any questions you may have about any particular investment product being presented to you.","og_url":"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/","og_site_name":"Paladin Registry Blog","article_published_time":"2014-02-11T14:26:56+00:00","article_modified_time":"2014-02-10T23:27:46+00:00","og_image":[{"width":600,"height":399,"url":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2014\/02\/stock-broker-knowledge.jpg","type":"image\/jpeg"}],"author":"James Dunlap","twitter_card":"summary_large_image","twitter_creator":"@PaladinRegistry","twitter_site":"@PaladinRegistry","twitter_misc":{"Written by":"James Dunlap","Est. reading time":"1 minute"},"schema":{"@context":"https:\/\/schema.org","@graph":[{"@type":"WebPage","@id":"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/","url":"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/","name":"How Much Investment Knowledge should My Stock Broker have?","isPartOf":{"@id":"https:\/\/www.paladinregistry.com\/blog\/#website"},"primaryImageOfPage":{"@id":"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/#primaryimage"},"image":{"@id":"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/#primaryimage"},"thumbnailUrl":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2014\/02\/stock-broker-knowledge.jpg","datePublished":"2014-02-11T14:26:56+00:00","dateModified":"2014-02-10T23:27:46+00:00","author":{"@id":"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/7c1c88a289518e68683e4470a9db8b51"},"description":"Your stock broker is expected to be able to answer any questions you may have about any particular investment product being presented to you.","breadcrumb":{"@id":"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/#breadcrumb"},"inLanguage":"en-US","potentialAction":[{"@type":"ReadAction","target":["https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/"]}]},{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/#primaryimage","url":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2014\/02\/stock-broker-knowledge.jpg","contentUrl":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2014\/02\/stock-broker-knowledge.jpg","width":600,"height":399},{"@type":"BreadcrumbList","@id":"https:\/\/www.paladinregistry.com\/blog\/investing\/much-investment-knowledge-stock-broker\/#breadcrumb","itemListElement":[{"@type":"ListItem","position":1,"name":"Home","item":"https:\/\/www.paladinregistry.com\/blog\/"},{"@type":"ListItem","position":2,"name":"Investing","item":"https:\/\/www.paladinregistry.com\/blog\/category\/investing\/"},{"@type":"ListItem","position":3,"name":"How Much Investment Knowledge should My Stock Broker have?"}]},{"@type":"WebSite","@id":"https:\/\/www.paladinregistry.com\/blog\/#website","url":"https:\/\/www.paladinregistry.com\/blog\/","name":"Paladin Registry Blog","description":"Helping You Make Better Financial Decisions","potentialAction":[{"@type":"SearchAction","target":{"@type":"EntryPoint","urlTemplate":"https:\/\/www.paladinregistry.com\/blog\/?s={search_term_string}"},"query-input":"required name=search_term_string"}],"inLanguage":"en-US"},{"@type":"Person","@id":"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/7c1c88a289518e68683e4470a9db8b51","name":"James Dunlap","image":{"@type":"ImageObject","inLanguage":"en-US","@id":"https:\/\/www.paladinregistry.com\/blog\/#\/schema\/person\/image\/","url":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/11\/small_James-Dunlap-Securities-Lawyer-96x96.jpg","contentUrl":"https:\/\/www.paladinregistry.com\/blog\/wp-content\/uploads\/2013\/11\/small_James-Dunlap-Securities-Lawyer-96x96.jpg","caption":"James Dunlap"},"description":"James Dunlap completed an economics degree from Princeton University in 1984 and then he obtained a J.D., cum laude, from the University of Georgia School of Law in 1988. He has practiced law in Georgia and has been active in community and public affairs ever since. Mr. Dunlap has engaged in a varied general practice, which has included personal injury and negligence cases. He has represented individuals, partnerships and companies in a wide range of business related legal matters. His criminal practice has included representation of persons charged with criminal violations ranging from misdemeanor traffic offenses through serious felony offenses. Mr. Dunlap has extensive experience in jury trials of civil and criminal matters in State and Federal Courts. He is authorized to practice law in the State and Superior Courts of Georgia, the Georgia Courts of Appeals, the Georgia Supreme Court, the U.S. District Court for the Northern District of Georgia and the Eleventh U.S. Circuit Court of Appeals.","sameAs":["http:\/\/www.jamesdunlaplaw.com"],"url":"https:\/\/www.paladinregistry.com\/blog\/author\/james-dunlap\/"}]}},"_links":{"self":[{"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/posts\/3149"}],"collection":[{"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/users\/24"}],"replies":[{"embeddable":true,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/comments?post=3149"}],"version-history":[{"count":5,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/posts\/3149\/revisions"}],"predecessor-version":[{"id":3153,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/posts\/3149\/revisions\/3153"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/media\/3154"}],"wp:attachment":[{"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/media?parent=3149"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/categories?post=3149"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/www.paladinregistry.com\/blog\/wp-json\/wp\/v2\/tags?post=3149"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}