Annuities: FINRA Rule 2330


This course provides an overview of the requirements of FINRA Rule 2330 with regard to suitability of variable annuities. The course includes discussion on determining suitability, principal review, firm supervisory procedures, and training requirements.

Learning Objectives

Students who successfully complete this course will be able to:

  • understand the broad scope of suitability standards and requirements for the sale of variable annuities as set forth by securities regulators
  • describe FINRA Rule 2330 and its basic requirements
  • identify Rule 2330 provisions that are similar to those of NAIC’s Annuity Suitability Model Regulation, and those that are unique

Designed for

All registered representatives and principals

Find this course for your license:

License or Certification