Annuity Suitability: Practice

Overview

This course presents ideas that can help registered representatives integrate suitability standards into their annuity marketing and sales activity. This course reviews the annuity suitability regulations by reviewing compliance requirements for anyone who markets and sells their products. The course will assist registered representatives in complying with company and firm annuity suitability procedures. The material presented in this course is intended to reinforce, not to replace, a firm’s compliance policies and procedures.

Learning Objectives

Students who successfully complete this course will be able to:

  • realize that the key to consistent suitability compliance lies in making informed recommendations
  • understand the importance of thorough fact-finding to determine and document annuity suitability
  • know the factors that need to be considered when evaluating the suitability of an annuity recommendation
  • consider how suitability standards and principles can be integrated into daily business practices

Designed for

All registered representatives and principals

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