Overview
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